Additional Archives
Securities Division Newsletters
January/February 2015 Newsletter
With the number of cyber-attacks aimed at various financial institutions growing each day, the Department of the Secretary of State Securities Division urges investors to contact their own financial services providers -- including their brokers and investment advisers -- to find out what policies and procedures each firm has implemented to safeguard the investor's personal financial information. Included in this issue is a cybersecurity alert with a list of just some of the questions investors should ask. We also report on the latest in the on-going series of workshops the Division recently conducted in Charlotte and Raleigh for those investment advisers subject to the Division's regulatory oversight. We also mark America Saves Week by encouraging investors to think and talk about their personal finances. To help investors do just that, we reprint two investor bulletins from the U.S. Securities and Exchange Commission, one offering tips on how to better manage one's finances, and one detailing how investors harmed by fraudulent investment schemes may recover some of their money. Finally, we include our regular features, our Calendar of Upcoming Events, information about criminal cases that are On The Docket, our Recent Enforcement Actions, and News from the Regulators.