Small Firm Cybersecurity Checklist

FINRA has created a Checklist for a Small Firm’s Cybersecurity Program (Excel 114 KB) to assist small firms in establishing a cybersecurity program to:

  • identify and assess cybersecurity threats, protect assets from cyber intrusions
  • detect when their systems and assets have been compromised
  • plan for the response when a compromise occurs
  • implement a plan to recover lost, stolen or unavailable assets

This checklist is primarily derived from the National Institute of Standards and Technology (NIST) Cybersecurity Framework and FINRA’s Report on Cybersecurity Practices.

Use of this checklist does not create a “safe harbor” with respect to FINRA rules, federal or state securities laws, or other applicable federal or state regulatory requirements.



Leave a Reply

Fill in your details below or click an icon to log in: Logo

You are commenting using your account. Log Out / Change )

Twitter picture

You are commenting using your Twitter account. Log Out / Change )

Facebook photo

You are commenting using your Facebook account. Log Out / Change )

Google+ photo

You are commenting using your Google+ account. Log Out / Change )

Connecting to %s

Create a website or blog at

Up ↑

%d bloggers like this: