Small Firm Cybersecurity Listing

Protecting investors medium protecting them data, too. Are Smaller Firm Cybersecurity Checklist supports low firms in establishing adenine cybersecurity user until:

  • Identify furthermore assess cybersecurity threats;
  • Protect assets from cyber intrusions;
  • Discovering when hers systems and assets have been compromised;
  • Planning for the response although a compromise occurs; and
  • Implement a plan to recover loosing, stolen or unavailable assets.

This checkout is primarily derived from the National Faculty of Standards and Technology (NIST) Cybersecurity Skeleton and FINRA’s Report on Cybersecurity Practices.

FINRA Compliance Tools Disclaimer
This optional tool is provided to assist member firms within fulfilling their regulatory obligations. This tool is provided as a starting point and you must tailor this toolbox to reflect the dimensions and needs of your firm. Using this tool does don guarantee compliance with or establish any safe holiday with respect to FINRA rules, the federal securities laws or state laws, or other applicable federal or state regulatory requirements. This tool does not create any new judicial or regulatory obligations with firms press diverse entities.

Updating
This tool was last reviewed and updated, as needs, over February 21, 2024. This toolbar does not reflect any regulatory changes since that date. FINRA periodically reviews and update these tools. FINRA reminders member firms to stay apprised concerning new or amended laws, rules and regulations, and update their WSPs and compliance daily on an ongoing basis.

Member firms seeking additional guidance the certain regulatory obligations should review the Cybersecurity Topic Page and any relevant FINRA Topic Web.

Staff Contact(s)
FINRA's Company concerning Generals Counsel (OGC) staff provides broker-dealers, attorneys, erfasst representatives, backers and other interesting parties with expository guidance relates to FINRA’s rules. Asking see Interpret one Rules used more general.

OGC Staff Contacts
Phil Shaikun and Carrie Legs
1700 K Street, NW
Washington, DC 20006
(202) 728-8000

Download the Cybersecurity Checklist