DOWNLOAD THREE STEPS TO SEC / FINRA CYBERSECURITY COMPLIANCE

Small and mid-sized RIA and broker-dealer firms are in a tough spot when it comes to cybersecurity compliance with SEC, FINRA and/or state regulators: Too small for an in-house staff, but big enough IT structures to be a target for cyber threats. 

Yet you’re expected to know the IT world, and keep your company compliant. 

You can do that, but first you have to understand the big picture and build your own plan. This guide will help you:

  • Understand what the SEC expects from you

  • Detail the important steps for building your own plan

  • Become cybersecurity literate (know what you need to know!)

The guide was created by TechGen, a Minneapolis IT Managed Services provider specializing in helping financial services businesses.

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