SEC to Launch Cybersecurity Exams

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Sec cybersecurity auditWill Assess More than 50 Broker-Dealers, Investment Advisers

If you’re an investment advisor or broker dealer, the time is rapidly approaching when you’ll be subjected to an SEC cybersecurity readiness audit.  Are you prepared?

The Securities and Exchange Commission is planning to conduct more than 50 examinations to assess cybersecurity preparedness in the securities industry and to obtain information about the industry’s recent experiences with certain types of cyberthreats.

Organizations to be examined ...

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SEC Cybersecurity Exams