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SEC Fines Transfer Agent After Cyber Incidents
The transfer agent failed “to assure that client securities and funds were protected against theft or misuse,” according to the SEC.
Intercontinental Exchange Faces $10M Penalty Over Delayed Disclosure
The SEC has hit the owner of the New York Stock Exchange with a $10 million penalty, saying its subsidiaries failed to notify the commission in a timely manner of a cyber intrusion discovered in 2021.
CISOs Gear Up For Compliance With SEC Cyber Regulations
The compliance deadlines for the SEC's cyber rules are this week, and CISOs have spent the last few months preparing in various ways.