SEC Spotlight
Cybersecurity
Regulations
Regulation SDR
Adopting release (see pages 232-236 for explanatory text)
Regulation S-ID
Subpart C - Regulation S-ID: Identity Theft Red Flags
Market Access Rule
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)
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News
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SEC Announces 2017 Examination Priorities
Jan. 12, 2017 -
SEC: Morgan Stanley Failed to Safeguard Customer Data
June 8, 2016 -
SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy
June 2, 2016 -
SEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach
Sept. 22, 2015 -
SEC Alerts Investors, Industry on Cybersecurity
Feb. 3, 2015
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