Series 65: 10.11.7.1 Best Practices For Forming A Cybersecurity Plan

Taken from our Series 65 Online Guide

10.11.7.1 Best Practices for Forming a Cybersecurity Plan

Both the SEC and FINRA have offered guidelines for firms to follow in order to establish and implement a framework for forming a cybersecurity plan. Both agencies suggest that firms:

• Define and establish a governing framework for the prevention of cybersecurity risks. The framework should clearly describe the specific roles and responsibilities of each employee at the firm.

• Develop a plan to prevent, detect, and respond to cybersecurity threats. The plan should establish the best methods to control ac

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