Stephen L. Cohen, Ranah Esmaili, Lara Mehraban, David S. Petron, Barry W. Rashkover, John I. Sakhleh, Lara C. Thyagarajan, Kenyon Colli Hall, Author at Data Matters Privacy Blog

About Barry W. Rashkover

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Entries by Barry W. Rashkover

05 10 '23

Latest Wave of SEC Off-Channel Communications Enforcement Actions: Five Takeaways

October 5, 2023/in Enforcement, Information Security, SEC/by Barry W. Rashkover

On September 29, 2023 — the last business day of its fiscal year — the U.S. Securities and Exchange Commission (SEC) issued the latest in a series of actions charging […]

12 01 '22

SEC Encourages Self-Reporting of Recordkeeping Violations Resulting From Employees’ Use of Personal Devices for Business Communications

January 12, 2022/in Employee Privacy, Enforcement, FINRA, SEC/by Barry W. Rashkover

On December 17, 2021, the U.S. Securities and Exchange Commission (SEC) announced settled charges against a broker-dealer firm for recordkeeping violations arising from its employees’ use of personal devices for […]