Menu

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

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.

Click here for a PDF of the full text