The SEC and FINRA warn that these investing tools may be "inaccurate, incomplete or misleading"
A new report is part of an effort to strengthen cybersecurity at brokerages, particularly small dealers
Firms receive lower fill rates and higher trading costs
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs
Inadequate due diligence on products a “common contributor” to suitability failings
The regulator expects the new structure to increase compliance efficiency and effectiveness
Regulator launches SIE exam
Annamaria Lusardi honoured for research to advance investor protection and financial capability
Technology may make it easier for securities firms to strengthen their compliance programs