BD- Broker-Dealer Small Firm Cybersecurity Procedures

The Broker-Dealer Small Firm Cybersecurity Procedures serves as an important part of a broker-dealer’s overall cybersecurity program by providing guidance on safeguarding critical business data and sensitive information within the framework of FINRA’s Cybersecurity Initiatives.  The customizable template allows firms to memorialize their cybersecurity processes and includes nineteen separate sections and exhibits in areas such as network security, privacy and data security, data inventory and risk assessment, website security, email and mobile devices, physical and operational security, incident response and others.  Members also downloaded Investment Adviser Cybersecurity Procedures or NY State Registered Investment Adviser Cybersecurity Procedures (Small Firm Limited Exemption) or Broker-Dealer- FINRA Small Firm Cybersecurity Checklist.

Version/Update: V.4/November 12, 2018

Total Page Count: 87

Source/Author(s): Connexien