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Securities Cybersecurity Resources

Cybersecurity Guidance:
Federal Communications Commission (FCC)Cyber Security Planning Guide [PDF]  or FCC Launches the Small Biz Cyber Planner  is a tool for small businesses to create customized cyber security planning guides.  Developed by the FCC with input from public and private sector partners, including the Department of Homeland Security, the National Cyber Security Alliance and the Chamber of Commerce. 
Financial Industry Regulatory AuthorityReport on Cybersecurity Practices  
FINRA’s published report on cybersecurity practices in the broker-dealer industry that highlights effective practices that firms should consider to strengthen their cybersecurity programs.
North American Securities Administrators AssociationNASAA Cybersecurity Report
NASAA’s compilation of results from a pilot survey about cybersecurity practices of small and mid-sized investment adviser firms.  The survey was designed to better understand the cybersecurity practices of state-registered investment advisers, which account for more than half of the registered investment advisers conducting business in the United States.

Securities and Exchange CommissionOCIE’s 2015 Cybersecurity Examination Initiative [PDF]
The SEC’s Office of Compliance Inspections and Examinations September 2015 National Exam Program Risk Alert.
Securities and Exchange CommissionCybersecurity Guidance [PDF]
The SEC’s Division of Investment Management’s cybersecurity guidance to help advisers and funds address cyber risks.     
Securities and Exchange CommissionPrivacy of Consumer Financial Information
SEC’s Final Rule:  Privacy of Consumer Financial Information (Regulation S-P).  This rule implements the requirements of the Gramm-Leach-Bliley Act with respect to investment advisers registered with the SEC, brokers, dealers and investment companies, which are the financial institutions subject to the SEC’s jurisdiction under that Act. 
Securities and Exchange CommissionRisk Alert:  Cybersecurity Examination Sweep Summary [PDF] 
SEC’s Office of Compliance Inspections and Examinations Risk Alert summarizing the results of its recent Cybersecurity Examination Sweep of registered broker-dealers and investment adviser firms, conducted under the Cybersecurity Examination Initiative.

Information Technology: