Other items on the regulator's radar include encryption of emails and data files. "This keeps your clients' private information secure, even if there is a breach," says Pedlow, whose firm provides ...

How can we protect ... that quote supplier representatives denying financial problems are sometimes a giveaway, as are articles and direct solicitations promising benefits for clients or advisors ...

Brokerage firms under Finra are required to make reasonable efforts to collect the name and contact information ... remind clients—and themselves—that they are obligated to protect clients ...