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.
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.
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.
The SEC’s Office of Compliance Inspections and Examinations September 2015 National Exam Program Risk Alert.
The SEC’s Division of Investment Management’s cybersecurity guidance to help advisers and funds address cyber risks.
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.
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.