Resources/ Updates


Cybersecurity Webinar for Small Broker-Dealers

FINRA’s free one-hour webinar  for small firms addresses “building an effective cybersecurity program with limited resources.” Tune in for best data protection practices and ways to apply the National Institute of Standards and Technology (“NIST”) framework.

Topics Covered

  • Overview of NIST Framework
  • Role of compliance in addressing cyber risks
  • Factors for developing a cybersecurity program
  • Focus of FINRA examinations
  • Recognizing a cyber-attack & developing response process


  • Myles Edwards, General Counsel, CCO & COO, Shufro, Rose & Co., LLC
  • Chip Jones, Senior VP, Member Relations and Education, FINRA (Moderator)
  • David Kelley, Surveillance Director, FINRA
  • Wendy Lanton, CCO  Officer, Lantern Investments
  • Adam Sedgewick, Senior IT Policy Adviser, NIST

Related Documents

Registration Form for Free FINRA Cybersecurity Webinar

SDDCO Past Post:
Fighting Cyber Pirates ~ Advice for Funds & Advisers ~ May 2, 2015


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