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Article
Publication date: 28 October 2014

Daniel A. Nathan and Libby J. Greismann

– To alert broker-dealers to the SEC’s plans to examine their cybersecurity practices, and offer advice on compliance.

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Abstract

Purpose

To alert broker-dealers to the SEC’s plans to examine their cybersecurity practices, and offer advice on compliance.

Design/methodology/approach

Reviews the SEC’s proposed cybersecurity framework and provides suggestions for broker-dealers to address and respond to these proposals.

Findings

The SEC is still focused on gaining more information about the state of the cybersecurity industry in the broker-dealer context.

Practical implications

Broker-Dealers should review the framework and prepare to be flexible and responsive to changing guidelines that may emerge.

Originality/value

Breaks down the SEC guidelines in plain English and analyses the import of these guidelines. Offers practical advice for compliance.

Details

Journal of Investment Compliance, vol. 15 no. 4
Type: Research Article
ISSN: 1528-5812

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