Top Securities and Exchange Commission (SEC) Exam Requests for Cybersecurity

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The Top SEC Exam Requests for Cybersecurity serves as a useful guide for broker-dealers and investment adviser firms when preparing their cybersecurity program and aligning the program in accordance with current SEC Cybersecurity Initiatives.  This Guide includes thirteen separate item requests to address select regulatory focal points often highlighted during SEC regulatory examinations. Members also downloaded the SEC Investment Adviser Sample Exam Records Request List.

Version/Update: V.1/ November 30, 2020

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien