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ARTICLE · 12 APRIL 2019

Financial Industry Regulator Issues Cybersecurity Guidance

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In December 2018, the United States Financial Industry Regulatory Authority issued a Report on Selected Cybersecurity Practices — 2018 to help broker-dealer firms improve their cybersecurity programs.

CanadaTechnology
Bradley Freedman
Bradley Freedman
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In December 2018, the United States Financial Industry Regulatory Authority issued a Report on Selected Cybersecurity Practices — 2018 to help broker-dealer firms improve their cybersecurity programs. The Report provides detailed recommendations for managing common cyber risks, and includes a list of core cybersecurity controls for small firms. The Report provides guidance that is consistent with best practices recommended by Canadian financial industry regulators, self-regulatory organizations and privacy commissioners, and is useful for organizations in all industries.

FINRA AND CYBERSECURITY

The Financial Industry Regulatory Authority (FINRA) is an independent, self-regulatory organization for broker-dealer firms doing business in the United States. FINRA is authorized by the United States Congress to protect American investors by making sure the broker-dealer industry operates fairly and honestly.

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