Broker-Dealers

What arrives

Reg S-P: SEC Regulation S-P, 17 CFR 248.30. Written administrative, technical and physical safeguards for customer information, including an incident response program.; Source
The 30-day notice: SEC Regulation S-P amendments, 2024. Notice to affected individuals as soon as practicable, and no later than 30 days after learning of unauthorized access to customer information.; Source
Reg S-ID: SEC Regulation S-ID, 17 CFR 248.201. A written Identity Theft Prevention Program for firms that offer or maintain covered accounts.; Source
FINRA Rule 4370: FINRA Rule 4370. A written business continuity plan for an emergency or significant business disruption, reviewed annually.; Source
Rule 17a-4(f): SEC Rule 17a-4(f), 17 CFR 240.17a-4. Electronic records kept with a complete time-stamped audit trail, or in non-rewriteable, non-erasable format.; Source