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Keywords: Safeguards rule
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (1): 31–35.
Published: 04 April 2019
... Explains how the SEC’s order not only cites violations of the Safeguards Rule under Regulation S-P (a staple of SEC cybersecurity enforcement actions against broker-dealers and investment advisers) but also is the SEC’s first enforcement action for a violation of the Identity Theft Red Flags Rule under...
