Cybersecurity is broadly defined as the protection of investor and firm information from compromise through the use—in whole or in part—of information technology. Compromise refers to a loss of data confidentiality, integrity or availability. This checklist is provided to assist small member firms with limited resources to establish 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 and 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.
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