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SEC and CFTC Adopt Rules to Help Protect Investors from Identity Theft

April 18, 2013


The Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have jointly adopted rules to require various entities they regulate to adopt identity theft programs for the protection of investors. These rules require broker-dealers, investment companies, investment advisers, commodity pool operators, commodity trading advisors and other entities to adopt programs in order to help protect investors from the risks of identity theft.


Image: Jacqueline A. May
Jacqueline A. May
Of Counsel, Corporate Department

Image: Michael R. Rosella
Michael R. Rosella
Partner, Corporate Department

Image: Arthur L. Zwickel
Arthur L. Zwickel
Partner, Corporate Department

Image: Christian Parker
Christian Parker
Partner, Corporate Department

Image: David A. Hearth
David A. Hearth
Partner, Corporate Department

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