Institutional banking compliance command center mapping SEC and FINRA frameworks
SEC / FINRA Compliance

Bulletproof Your Firm Against SEC and FINRA Cyber Audits

Turn cybersecurity from a regulatory liability into an institutional asset.

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A Failed Audit Is Not Just a Fine. It Is an Existential Threat.

For mid-market broker-dealers and regional financial services, a failed audit is not just a fine—it is an existential threat. Enforcement actions, client attrition, and reputational damage from regulatory non-compliance can permanently impair a firm's ability to operate and attract capital.

We specialize in mapping your infrastructure directly to SEC and FINRA mandates, elevating your NIST CSF maturity. Our team conducts comprehensive gap analyses against SEC Regulation S-P, FINRA's cybersecurity examination checklist, and GLBA Safeguards Rule requirements—building a prioritized remediation roadmap that transforms your security posture from reactive to proactive.

Utilizing the CRI Profile, we quantify cyber risk to empower executive leadership to prioritize technology investments that directly reduce modeled loss exposure—turning abstract security metrics into concrete financial decisions.

SEC & FINRA Mapping

Direct mapping of your infrastructure to SEC, FINRA, and GLBA mandates with comprehensive gap analysis and remediation.

Cyber Risk Quantification

CRI Profile-based risk quantification that translates technical vulnerabilities into modeled financial loss exposure.

NIST CSF Maturity Elevation

Systematic elevation of your NIST Cybersecurity Framework maturity level with measurable progress tracking.

$22M
Modeled Loss Exposure Reduced

Quantified cyber risk utilizing the CRI Profile, empowering executive leadership to prioritize technology investments that successfully reduced modeled loss exposure by $22M across regulated financial services engagements.

Request a Regulatory Compliance Review

Our senior advisory team will evaluate your firm's SEC, FINRA, and GLBA compliance posture—identifying gaps, quantifying risk, and delivering a prioritized roadmap for audit readiness.

Comprehensive SEC & FINRA gap analysis
CRI Profile cyber risk quantification
Prioritized audit readiness roadmap

Request Regulatory Compliance Review

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Frequently Asked Questions

SEC / FINRA Compliance — Executive Q&A

The SEC requires broker-dealers to implement comprehensive cybersecurity programs that include written policies and procedures for safeguarding customer records and information (Regulation S-P), incident response planning, risk assessments, vendor due diligence, and timely disclosure of material cybersecurity incidents. The SEC's examination priorities increasingly focus on cybersecurity governance, access controls, and data loss prevention—making audit readiness a critical priority for mid-market firms.
FINRA conducts cybersecurity examinations that evaluate a firm's governance structure, risk assessment processes, technical controls, incident response capabilities, vendor management, and employee training. FINRA examiners review written supervisory procedures, test access controls, examine data encryption practices, and assess the firm's ability to detect and respond to cyber threats. Revive Data Inc. prepares firms for these examinations by mapping controls directly to FINRA's examination checklist.
The Cyber Risk Institute (CRI) Profile is a cybersecurity framework specifically designed for the financial services industry. It harmonizes regulatory requirements from multiple agencies (SEC, FINRA, OCC, FFIEC) into a single assessment framework. By mapping your security controls to the CRI Profile, Revive Data Inc. quantifies cyber risk in financial terms—enabling executive leadership to prioritize technology investments based on measurable risk reduction and modeled loss exposure.
A failed audit can result in enforcement actions including monetary fines, censure, suspension of operations, or in severe cases, revocation of registration. Beyond regulatory penalties, a failed audit signals to clients, counterparties, and investors that the firm cannot be trusted with sensitive financial data—creating an existential threat to the business. Proactive compliance through a Fractional CISO engagement is significantly less costly than remediation after a failed examination.
The Gramm-Leach-Bliley Act (GLBA) requires financial institutions, including broker-dealers, to explain their information-sharing practices, safeguard sensitive customer data, and develop a written information security plan. The FTC's Safeguards Rule—which implements GLBA—mandates specific technical controls including encryption, access management, multi-factor authentication, and continuous monitoring. Revive Data Inc. ensures full GLBA compliance as part of our comprehensive regulatory alignment program.