FROM THE RESEARCH DESK

Beyond Rule 4370: A Cybersecurity and Compliance Guide for Broker-Dealers Broker-dealers face strict technology and security standards from FINRA that go beyond basic IT management. FINRA compliance IT requirements include specific rules for business continuity planning, cybersecurity protocols, vendor oversight, and customer data protection that firms must follow to avoid regulatory penalties. Understanding these requirements…

Investment advisors face a complex web of SEC cybersecurity requirements in 2026, with multiple regulations now in full effect. The SEC has significantly expanded its cybersecurity framework through Regulation S-P updates, Regulation S-ID requirements, and the 2023 Cybersecurity Risk Management Rules. These rules work together to create comprehensive obligations for protecting client data and reporting…

Law firm IT compliance protects your practice from ethical violations, data breaches, and regulatory penalties. NYC law firms face unique technology obligations under state bar rules, grievance committee oversight, and strict cybersecurity regulations. Whether you manage a small practice or a large firm, understanding these requirements is not optional anymore. In 2026, NYC law firms…

Financial and legal leaders in New York City are facing their biggest compliance challenge yet. NYDFS cybersecurity regulation amendments took effect in November 2023, with phased compliance deadlines running through November 2025. NYDFS has active enforcement authority and may impose significant civil penalties for cybersecurity violations, with amounts determined based on the nature and severity…

Cloud Services in NYC are critical to modern business operations in the city and beyond. Leveraging the cloud can provide many benefits, including enhanced scalability, reduced costs, and streamlined operations. For example, a growing NYC-based e-commerce business migrated its operations to the cloud in order to more efficiently handle seasonal traffic spikes, which not only…