Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Fidelity Hit With $1.25M Fine Over Data Breach
By Melanie WaddellMassachusetts' top securities regulator ordered the fine over a breach that compromised the data of 77,000 customers.
April 17, 2026
Mercer Faces Data Breach LawsuitsShinyHunters, a cyber extortion gang, dumped millions of internal records onto the dark web, plaintiffs say.
April 16, 2026
Fake Regulators Are Trying to Steal Money From Insurance ProducersOfficials are urging agents and brokers to look at emails carefully before clicking on links.
April 16, 2026
SEC Seeks Comments on Reining in CATThe agency wants feedback on Consolidated Audit Trail funding and cost management and the regulatory purpose of the database.
April 01, 2026
Cetera Faces Lawsuit Over Data BreachThe breach arose from one employee's email account.
April 01, 2026
Ex-Ameriprise Client Files Class Action Over Data IncidentA lawsuit contends that a cybercriminal group compromised clients' sensitive information.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 31, 2026
Retirement Savers' Data Privacy Is at Risk, GAO WarnsThe watchdog is calling on the DOL to guide asset managers and record keepers on acceptable data use.