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SEC Spotlight

SEC Spotlight

 

Cybersecurity

 

Cybersecurity header

 

"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)

Email Updates

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News

 

Providing Investors with Information


Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

Investor Bulletin: Protecting Your Online Brokerage Accounts from Fraud

 

Assessing Market Participant Readiness


OCIE September 2015 Cybersecurity Examination Initiative

OCIE Summary of 2014 Cybersecurity Examination Sweep

 

Engaging Government Agencies and Industry


Guidance for Public Companies

Guidance for Investment Advisers and Funds

SEC Cybersecurity Roundtable

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Modified: Oct. 18, 2016