BD- FINRA Broker-Dealer Small Firm Cybersecurity Checklist

The FINRA Small Firm Cybersecurity Checklist assists small firms with the establishment of a cybersecurity program to help identity 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 is derived from the National Institute of Standards and Technology (NIST) Cybersecurity Framework and FINRA’s Report on Cybersecurity Practices. Use of this checklist does not create a "safe harbor" with respect to FINRA rules, federal or state securities laws, or other applicable federal or state regulatory requirements. Members also downloaded Broker-Dealer Small Firm Cybersecurity Procedures.

Version/Update: V.1.2/June 2020

Total Page Count/Format: 13 Sections/.xlsx

Source/Author(s): FINRA

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