FINRA Broker-Dealer Small Firm Cybersecurity Checklist

The updated 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 updated checklist, which is derived from the NIST Cybersecurity Framework and FINRA’s Report on Cybersecurity Practices, includes updated links to Overview and Resources tabs, and updated information in Sections 3,7, and 9. 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.1.3/September 2023

Total Page Count/Format: 15 Tabs/Sections/.xlsx

Source/Author(s): FINRA

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