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…

Lawyers have always been required to protect client secrets, but technology has made this job much harder. Attorney client privilege IT security now requires specific technical measures like encryption, access controls, and secure communication systems to meet ethical standards. A single mistake with email, cloud storage, or mobile devices can expose confidential information and put…

Lawyers have always been required to protect client secrets, but technology has made this job much harder. Attorney client privilege IT security now requires specific technical measures like encryption, access controls, and secure communication systems to meet ethical standards. A single mistake with email, cloud storage, or mobile devices can expose confidential information and put…

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…

Law firms and financial advisors in New York City are facing their most dangerous quarter yet. In the first six weeks of 2026, cybercriminals launched targeted attacks against professional services firms at rates 47% higher than the same period last year, with average ransom demands reaching $2.3 million for law firms and breach costs averaging…