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A Few Minutes With FINRA
FINRA's Small Firm Cybersecurity Checklist
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A Few Minutes With FINRA
Summary - FINRA provides a library of brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.
These videos are available on the FINRA website. The topics are diverse and offer different perspectives on topics regarding accounting regulations.
For more information, please click here.
FINRA's Small Firm Cybersecurity Checklist
Summary - FINRA provides a 'Small Firm Cybersecurity Checklist' in their effort toward protecting the data of investors. FINRA's cybersecurity program supports the following according to its website:
- Identify and assess cybersecurity threats;
- Protect assets from cyber intrusions;
- Detect when their systems and assets have been compromised;
- Plan for the response when a compromise occurs; and
- Implement a plan to recover lost, stolen or unavailable assets.
The checklist, which is primarily derived from the National Institute of Standards and Technology (NIST) Cybersecurity Framework and FINRA’s Report on Cybersecurity Practices, is available online.
Click here for more information.