Cybersecurity Best Practices for Broker-Dealers Checklist

Earlier this year, the SEC and the Financial Industry Regulatory Authority (FINRA) released their respective annual reports setting out their priorities for the year ahead, which include a clear focus on cybersecurity. Broker-dealers should strongly consider implementing cybersecurity programs that address supervision, risk reduction, and oversight of activities and vendor relationships to mitigate the risk of cybersecurity threats. This checklist discusses best practices for broker-dealers.

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