Cybersecurity and the SEC

“Cybersecurity threats know no boundaries. That's why assessing the readiness of market participants and providing investors with information on how to better protect their online investment accounts from cyber threats has been and will continue to be an important focus of the SEC. Through our engagement with other government agencies as well as with the industry and educating the investing public, we can all work together to reduce the risk of cyber attacks.”

— SEC Chair Mary Jo White

Regulations

• Regulation SCI
• Regulation S-P
• Regulation SDR
  • Exchange Act Rule 13n-6
  • Adopting release (see pages 232-236 for explanatory text)
• Regulation S-ID
  • Subpart C - Regulation S-ID: Identity Theft Red Flags
  • Adopting release
• Market Access Rule
  • Exchange Act Rule 15c3-5
  • Adopting release
• Compliance Rules
  • Investment Company Act Rule 38-1
  • Investment Advisers Act Rule 206(4)-7
  • Adopting release for ICA Rule 38-1 and IAA Rule 206(4)-7 (see Section II(A)(1) of the Adopting Release, which provides additional information about issues that the policies and procedures of funds or advisers should consider, certain of which are related to cybersecurity)