Posts Tagged ‘SEC’

SEC Regulation S-P Proposals To Improve The Security Of Customer Information Within Brokerage Shops

Friday, May 16th, 2008

Do you work for a brokage house, have a subsidiary that is a brokerage house, or do any type of work with a brokerage house? If so, then you should be aware of the Securities and Exchange Commission (SEC) proposed changes to Regulation S-P in March of this year.
In general, the proposed amendments to Regulation S-P…


Web Hackers Fined $15 Million by SEC

Sunday, June 3rd, 2007

I remember reading in an issue of 2600 The Hacker Quarterly magazine several years back about how easy it is to commit crime, without being noticed, by hacking poorly secured web sites.
Hacking is often viewed to be a safe, almost anonymous, type of crime that is often very hard to pin upon one individual.


Social Engineering & the Need for Awareness & Training: Fraudsters Are Calling Businesses Pretending to Be SEC Staff Members

Monday, May 14th, 2007

Another example of a social engineering scam, and another example of why awareness and training are so important for safeguarding information…
On May 10th the U.S. Securities and Exchange Commission (SEC) issued a press release warning that imposters were calling companies, claiming to be SEC examiners, and demanding “immediate access to confidential records.”