Cybersecurity Incident Management Workshop

As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-attacks. This session covers key aspects of the types of cyber threats firms can encounter, Incident Response frameworks, third-party risk considerations, and an interactive cyber tabletop exercise with actional tips firms can leverage to strengthen their cyber posture.

2019060756501 Robinhood Financial, LLC CRD 165998 and Robinhood Securities, LLC CRD 287900 AWC vr (2025-1743985200840).pdf

From May 2014 through September 2023, RHF, and from at least November 2018 through July 2022, RHS, failed to establish and maintain supervisory systems that were reasonably designed for the firms' brokerage businesses, resulting in numerous violation of securities laws and FINRA rules.

FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations

WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.

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