{"id":4818,"date":"2026-03-10T20:47:02","date_gmt":"2026-03-11T01:47:02","guid":{"rendered":"https:\/\/www.titan.tech\/compliance\/sec-finra-compliance\/"},"modified":"2026-03-13T05:36:44","modified_gmt":"2026-03-13T10:36:44","slug":"sec-finra-compliance","status":"publish","type":"page","link":"https:\/\/www.titan.tech\/compliance\/sec-finra-compliance\/","title":{"rendered":"SEC &amp; FINRA Cybersecurity Compliance"},"content":{"rendered":"<section class=\"segment hp-banner-demo flex-box space-large\" style=\"background-image: url('https:\/\/www.titan.tech\/wp-content\/uploads\/2026\/03\/sf2_bgimg_2.jpg'); background-repeat: no-repeat; background-position: center center; background-attachment: scroll; background-size: cover;\">\n<div class=\"container\">\n<div class=\"banner-content flex-box md-no-flexbox flex-column justify-content-center text-center\">\n<h1 class=\"heading-font font-white uppercase margin-bottom-20\"><strong>SEC &amp; FINRA Cybersecurity Compliance<\/strong><\/h1>\n<p class=\"font-20 margin-bottom-40 font-white\">Cybersecurity compliance for registered investment advisers, wealth managers, and broker-dealers<\/p>\n<p><a class=\"btn btn-primary btn-lg btn-custom accent6\" href=\"\/contact-us\/\" target=\"_self\">schedule a consultation<\/a>\n<\/div>\n<\/div>\n<\/section>\n<section class=\"segment1 hp-problem space-mini\">\n<div class=\"container\">\n<div class=\"row flex-box justify-content-center\">\n<div class=\"col-md-10 contact-box col-sm-10 col-xs-10 flex-box xs-no-flexbox flex-row align-items-center justify-content-between\">\n<div class=\"row flex-box xs-no-flexbox align-items-center contact-box-content\">\n<div class=\"col-lg-2 col-md-2 col-sm-2 col-xs-12\"><svg height=\"78\" width=\"78\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"><g fill=\"none\"><g stroke=\"#fff\" stroke-width=\"1.8\"><path d=\"M20.967 55.538c14.185 14.185 27.734 17.186 32.736 17.46a36.6 36.6 0 005.455-12 45.438 45.438 0 00-13.094-8.73l-5.457 5.452c-1.864-.5-6.98-2.614-13.1-8.73s-8.228-11.23-8.728-13.094l5.455-5.457a45.427 45.427 0 00-8.727-13.093 36.6 36.6 0 00-12 5.455c.273 5.002 3.273 18.551 17.46 32.737zM52.884 5.001c-11.927 0-21.6 7.6-21.6 16.975 0 9.018 8.958 16.373 20.259 16.923a36.838 36.838 0 01-.426 7.633 1.408 1.408 0 001.989 1.517c4.747-2.307 21.387-14.208 21.387-26.072 0-9.376-9.672-16.976-21.609-16.976z\" stroke-miterlimit=\"10\"\/><path d=\"M43.507 21.998h19M43.507 15.998h19M43.507 27.998h10\" stroke-linejoin=\"round\"\/><\/g><path d=\"M0 0h78v78H0z\"\/><\/g><\/svg><\/div>\n<div class=\"col-lg-7 col-md-6 col-sm-6 col-xs-12\">SEC Rule 206(4)-9 compliant cybersecurity programs for Cincinnati RIAs and financial advisors<\/div>\n<div class=\"col-lg-3 col-md-4 col-sm-4 col-xs-12\">\n<div class=\"uppercase font-18\">Call us today<\/div>\n<div class=\"bold\">513-400-4072<\/div>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n<div class=\"row margin-top-40\">\n<div class=\"col-md-6\">\n<img decoding=\"async\" class=\"img-responsive aligncenter\" src=\"https:\/\/www.titan.tech\/wp-content\/uploads\/2026\/03\/sf2_img_2.jpg\" alt=\"sf2_img_2\" \/>\n<\/div>\n<div class=\"col-md-6\">\n<p class=\"lead\">The SEC's 2023 cybersecurity rule is not optional. Every registered investment adviser needs a written cybersecurity program \u2014 and Titan Tech builds and maintains it for you.<\/p>\n<h2 class=\"font-36 uppercase accent margin-bottom-20\"><strong>SEC Cybersecurity Requirements Are Now Law<\/strong><\/h2>\n<ul class=\"list-style-none list-check margin-left-20\">\n<li>SEC Rule 206(4)-9 (effective 2024) requires a written cybersecurity policy for all RIAs<\/li>\n<li>Material cybersecurity incidents must be reported to the SEC within 30 days<\/li>\n<li>Form ADV Part 2 requires disclosure of cybersecurity risks and significant incidents<\/li>\n<li>FINRA expects broker-dealers to maintain and test a documented cybersecurity program<\/li>\n<li>Cyber insurance underwriters are requiring MDR, MFA, and encrypted backups as policy conditions<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<\/div>\n<\/section>\n<section class=\"segment3 hp-banner-image xs-text-center text-white space-huge\" style=\"background-image: url('https:\/\/www.titan.tech\/wp-content\/uploads\/2026\/03\/titan_hero_1486406526_6d4b9b2e3_1600.jpg'); background-repeat: no-repeat; background-position: center center; background-attachment: scroll; background-size: cover;\">\n<div class=\"container\">\n<div class=\"row margin-bottom-40\">\n<div class=\"col-md-6 col-sm-8\">\n<h2 class=\"uppercase margin-bottom-30\"><strong>HOW TITAN TECH SOLVES THIS<\/strong><\/h2>\n<p>Titan Tech builds SEC Rule 206(4)-9 compliant cybersecurity programs for registered investment advisers and wealth managers. We implement the technical controls the rule requires \u2014 SIEM, MDR, encrypted communications, access controls, and incident response \u2014 and we maintain the written documentation your examiners expect.<\/p>\n<p>Our program is built to be audit-ready at all times. Annual risk assessments, policy reviews, vendor risk management documentation, and incident response tabletop exercises are all included. When your FINRA exam or SEC examination starts, you hand them the binder \u2014 not a panic.<\/p>\n<p><a class=\"btn btn-primary btn-lg btn-custom accent6\" href=\"\/contact-us\/\" target=\"_self\">schedule a consultation<\/a>\n<\/div>\n<\/div>\n<\/div>\n<\/section>\n<section class=\"segment1 hp-service space-large\">\n<div class=\"container\">\n<div class=\"row margin-top-40\">\n<div class=\"col-md-6\">\n<img decoding=\"async\" class=\"img-responsive aligncenter\" src=\"https:\/\/www.titan.tech\/wp-content\/uploads\/2026\/03\/titan_hero_1486406526_6d4b9b2e3_1600.jpg\" alt=\"titan_hero_1486406526_6d4b9b2e3_1600\" \/>\n<\/div>\n<div class=\"col-md-6\">\n<h2 class=\"uppercase accent margin-bottom-20\"><strong>WHAT YOU GET WITH TITAN TECH<\/strong><\/h2>\n<ul class=\"list-style-none list-check margin-left-20\">\n<li><strong>Written Cybersecurity Policy:<\/strong> SEC Rule 206(4)-9 compliant written policy, procedures, and risk assessment documentation<\/li>\n<li><strong>SIEM & MDR:<\/strong> Huntress MDR and SentinelOne EDR \u2014 the technical controls the rule requires<\/li>\n<li><strong>Incident Response Plan:<\/strong> Documented IR plan with 30-day SEC reporting procedures and escalation paths<\/li>\n<li><strong>Annual Risk Assessment:<\/strong> Documented annual cybersecurity risk assessment to satisfy ongoing program requirements<\/li>\n<li><strong>Vendor Risk Management:<\/strong> Third-party risk documentation for all technology vendors handling client data<\/li>\n<li><strong>Form ADV Support:<\/strong> Documentation to support your cybersecurity risk disclosure in Form ADV Part 2<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<\/div>\n<\/section>\n<section class=\"segment1 hp-service space-large\">\n<div class=\"container\">\n<div class=\"row margin-top-40\">\n<div class=\"col-md-6\">\n<h2 class=\"bold uppercase\">Written Programs &amp; Annual Assessments That Satisfy Examiners<\/h2>\n<p>FINRA and SEC examiners aren&#39;t just checking for technical controls &#8212; they want to see a documented, tested, and managed cybersecurity program. Titan Tech produces the written policies, risk assessments, and incident response procedures that examiners look for, in the format they expect. We&#39;ve seen what regulators ask for and we build programs that answer those questions before they&#39;re asked.<\/p>\n<p>Annual assessments identify changes to your environment, new regulatory guidance, and gaps that need remediation &#8212; with findings documented in a format you can show to examiners or your compliance committee. When an exam notice arrives, you&#39;ll have a complete, current program ready to present rather than scrambling to document what you&#39;ve been doing.<\/p>\n<ul>\n<li>Written Information Security Policy (WISP) aligned to SEC Rule 206(4)-9<\/li>\n<li>Annual cybersecurity risk assessment with documented findings<\/li>\n<li>Incident response plan with defined roles and notification procedures<\/li>\n<li>Vendor risk management and due diligence documentation<\/li>\n<li>Exam preparation support and examiner liaison<\/li>\n<\/ul>\n<\/div>\n<div class=\"col-md-6\">\n<img decoding=\"async\" class=\"img-responsive aligncenter img-responsive\" src=\"https:\/\/www.titan.tech\/wp-content\/uploads\/2026\/03\/pexels-image-13.jpg\" alt=\"SEC FINRA compliance and financial regulation\" \/>\n<\/div>\n<\/div>\n<\/div>\n<\/section>\n<section class=\"segment hp-step text-center space-huge\">\n<div class=\"container\">\n<h1 class=\"bold uppercase font-36\">Worry-free It Is <span class=\"accent6\">Only 3 Steps Away<\/span><\/h1>\n<div class=\"row box-step flex-box flex-row flex-wrap\">\n<div class=\"col-md-4 box-outline\">\n<svg height=\"80\" viewBox=\"0 0 80 80\" width=\"80\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"><g fill=\"none\"><path d=\"m115.043 689.954a3.438 3.438 0 0 1 2.516 1.046 3.569 3.569 0 0 1 0 5 3.468 3.468 0 0 1 -2.529 1.044 3.543 3.543 0 0 1 .012-7.085l-.012-6.361c-.22-.023-.441-.046-.664-.071a89.766 89.766 0 0 0 -22.763.439l-.558.083a17.067 17.067 0 0 0 -6.848 2.541 10.092 10.092 0 0 0 -3.9 5.055 29.7 29.7 0 0 0 -.854 3.382l19.8-.011 6.278 6.278m-16.366 2.646a3.433 3.433 0 0 1 1.045-2.515 3.567 3.567 0 0 1 5 0 3.467 3.467 0 0 1 1.044 2.528 3.543 3.543 0 0 1 -7.085-.013l-10.028.013a29.806 29.806 0 0 0 1.175 5.411 10.106 10.106 0 0 0 3.9 5.057 15.553 15.553 0 0 0 5.056 2.172l-3.462 9.986h1.187l7.987-7.809m-15.535-23.748a29.225 29.225 0 0 0 -.32 8.925m56.444.486q1.44.17 2.884.38l.569.071a17.077 17.077 0 0 1 6.849 2.54 10.123 10.123 0 0 1 3.9 5.068 29.883 29.883 0 0 1 1.151 5.2 28.425 28.425 0 0 1 .226 3.655 28.734 28.734 0 0 1 -.474 5.27 30.78 30.78 0 0 1 -.9 3.6 10.065 10.065 0 0 1 -3.9 5.044 15.536 15.536 0 0 1 -5.056 2.172l3.454 10.005h-1.187l-9.2-9q-4.272.407-8.521.416a91.689 91.689 0 0 1 -9.636-.534q-.346-.037-.689-.083-1.391-.154-2.777-.356l-.558-.071a17.072 17.072 0 0 1 -6.848-2.551 10.089 10.089 0 0 1 -3.916-5.044 29.11 29.11 0 0 1 -1.376-8.866q0-.522.011-1.044.044-1.224.191-2.445.053-.439.118-.879a30.336 30.336 0 0 1 1.056-4.485 10.147 10.147 0 0 1 3.916-5.068 15.2 15.2 0 0 1 4.724-2.077q1.008-.272 2.124-.463l.558-.071a92.237 92.237 0 0 1 10.942-.938q.974-.029 1.946-.036m-19.964 14.157a92.681 92.681 0 0 0 12.627-.972l.558-.072a23.477 23.477 0 0 0 2.314-.511 15.125 15.125 0 0 0 4.534-2.029 10.134 10.134 0 0 0 3.916-5.057 29.982 29.982 0 0 0 .854-3.369q.2-1 .32-2.007a28.526 28.526 0 0 0 .2-3.358v-.131a29.058 29.058 0 0 0 -1.376-8.853 10.119 10.119 0 0 0 -3.916-5.055 17.07 17.07 0 0 0 -6.849-2.541l-.558-.083q-1.385-.2-2.777-.367m-1.922 27.32h2.017v-2.015m2.005 2.017h-2.005v2.005m9.446 7.43 6.29 6.254 19.808.012m-13.292-5.4a3.371 3.371 0 0 0 2.492-1.021 3.418 3.418 0 0 0 1.044-2.5v-.011a3.543 3.543 0 1 0 -7.085-.012v.012a3.454 3.454 0 0 0 1.045 2.516 3.382 3.382 0 0 0 2.508 1.013zm-22.359 10.467a3.543 3.543 0 1 0 .011-7.085 3.467 3.467 0 0 0 -2.528 1.044 3.568 3.568 0 0 0 0 5 3.438 3.438 0 0 0 2.516 1.045l.011 6.55m35.888-20.543-10-.011\" stroke=\"#222\" stroke-linecap=\"round\" stroke-linejoin=\"round\" stroke-width=\"1.8\" transform=\"translate(-75.031 -675.216)\"\/><path d=\"m0 0h80v80h-80z\"\/><\/g><\/svg><\/p>\n<h2 class=\"accent6 bold\">Consultation<\/h2>\n<p>We review your firm's current cybersecurity posture against SEC Rule 206(4)-9 requirements and identify gaps.\n<\/p><\/div>\n<div class=\"col-md-4 box-outline\">\n<svg height=\"80\" width=\"80\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"><g fill=\"none\"><path d=\"M58.581 36.408V9.938a3.963 3.963 0 00-3.977-3.965H21.859a3.779 3.779 0 00-2.79 1.155 3.843 3.843 0 00-1.175 2.81v60.72a4 4 0 003.965 3.965l16.569.011v-4.608q-3.65-1.261-5.337-7.495t-5.218-9.423l-1.035-.969a3.932 3.932 0 01-1.329-2.614 3.28 3.28 0 01.85-2.614 3.246 3.246 0 012.516-1.078 3.89 3.89 0 012.713 1.078l3.072 2.821v-20.5a3.7 3.7 0 117.4 0v9.935h.011a3.213 3.213 0 013.171-2.778 3.22 3.22 0 013.214 3.192v1.982h.01a3.211 3.211 0 013.159-2.778 3.114 3.114 0 012.266.948 3.08 3.08 0 01.937 2.256v1.939h.01a3 3 0 01.893-1.8 3.066 3.066 0 012.256-.926 3.114 3.114 0 012.277.926 3.056 3.056 0 01.937 2.244v15.36q.177 7.874-3.89 10.24v4.662M30.067 36.79q-.2.085-.4.2l-1.319.807a12.77 12.77 0 01-2.658-4.52l1.405-.774a2.748 2.748 0 001.482-2.331v-2.408a2.764 2.764 0 00-1.482-2.342l-1.405-.763a12.916 12.916 0 012.658-4.521l1.319.829a2.758 2.758 0 002.766.108l2.092-1.2a2.766 2.766 0 001.3-2.451l-.054-1.6a15.174 15.174 0 015.25 0l-.044 1.59a2.759 2.759 0 001.286 2.451l2.08 1.2a2.759 2.759 0 002.767-.109l1.351-.827a12.925 12.925 0 012.646 4.543l-1.416.763a2.735 2.735 0 00-1.471 2.331v2.406a2.75 2.75 0 001.471 2.342l1.416.752M28.383 61.888h-5.69\" stroke=\"#222\" stroke-linecap=\"round\" stroke-linejoin=\"round\" stroke-width=\"1.8\"\/><path d=\"M0 0h80v80H0z\"\/><\/g><\/svg><\/p>\n<h2 class=\"accent6 bold\">Sign Up<\/h2>\n<p>We implement a written cybersecurity program, SIEM, MDR, and the technical controls regulators expect to see.\n<\/p><\/div>\n<div class=\"col-md-4 box-outline\">\n<svg height=\"80\" width=\"80\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"><g fill=\"none\"><path d=\"M19.423 40.272v.01a7.708 7.708 0 110-.01h6.909a13.169 13.169 0 013.592-9.222c.139-.148.281-.294.427-.437a14.24 14.24 0 012.836-2.218l-2.91-5.053a7.748 7.748 0 01-11.61-6.716 8.184 8.184 0 01.224-1.9 7.438 7.438 0 012.036-3.571 8.03 8.03 0 011.589-1.236 7.785 7.785 0 0111.407 4.808 8.186 8.186 0 01.213 1.9 7.43 7.43 0 01-2.26 5.469 8.039 8.039 0 01-1.6 1.247m-3.881-4.563v-2.165h-2.164m2.164-2.153v2.153h2.154m-2.217 23.668v.054a13.16 13.16 0 003.592 9.275c.139-.145.281-.287.427-.427a13.22 13.22 0 016.727-3.731 14.509 14.509 0 012.985-.3h.01v-4.883H26.332zm3.592-9.232q.208.209.427.416a13.2 13.2 0 006.78 3.731q.6.13 1.216.2a14.641 14.641 0 001.716.1h.01v-8.902h-.01a13.324 13.324 0 00-6.876 1.8m6.887-1.8a13.227 13.227 0 016.845 1.8h.01l6.034-10.458a6.62 6.62 0 01-1.29-1.013 6.117 6.117 0 111.29 1.013h.011l.011-.032-.022.032M40.074 40.273h13.721a13.17 13.17 0 00-3.593-9.222q-.208.209-.427.416a13.208 13.208 0 01-6.77 3.742 14.64 14.64 0 01-2.932.288zM56.14 10.72v1.727h1.727m-1.727 1.727v-1.727h-1.73M40.071 45.155a14.369 14.369 0 012.964.3 13.224 13.224 0 016.738 3.731c.146.14.288.281.427.427a13.167 13.167 0 003.593-9.275v-.054l-.544-.01m.544.01v-.01h5.191v-.011a8.992 8.992 0 01.235-2.089 8.575 8.575 0 0116.609 0 8.923 8.923 0 01.225 2.089 8.535 8.535 0 11-17.069.011m-4.744 0l-.447.01m-6.864-11.888a14.218 14.218 0 012.846 2.218c.146.143.288.289.427.437m17.336 6.621v2.591h2.589m-2.589 2.591v-2.591h-2.591m-24.873 4.893v8.9a13.27 13.27 0 006.888-1.812 14.256 14.256 0 002.814-2.207q.219-.212.427-.426m-3.241 2.633l2.9 5a7.536 7.536 0 013.891-1.023 7.826 7.826 0 017.516 5.842 8.194 8.194 0 01.2 1.9 7.428 7.428 0 01-2.261 5.469 8.028 8.028 0 01-1.588 1.258 7.756 7.756 0 01-11.61-6.727 8.188 8.188 0 01.213-1.9 7.47 7.47 0 012.049-3.567 8.117 8.117 0 011.589-1.247m3.87 8.87v-2.165h-2.165m2.165-2.153v2.153h2.153M29.925 49.615q.208.214.427.426a14.051 14.051 0 002.8 2.2 13.284 13.284 0 006.908 1.823h.01m-15.746 7.2a6.354 6.354 0 00-6.13 4.755 6.652 6.652 0 00-.171 1.546 6.306 6.306 0 0012.612 0 6.618 6.618 0 00-.181-1.546 6.076 6.076 0 00-1.673-2.91 6.485 6.485 0 00-1.311-1.023 6.052 6.052 0 00-3.143-.833zm0 4.563v1.727h1.727m-1.727 1.727v-1.727H22.6m10.554-15.309l-5.682 9.84M11.661 38.119v2.153h2.154m-2.154 2.165v-2.165H9.497\" stroke=\"#222\" stroke-linecap=\"round\" stroke-linejoin=\"round\" stroke-width=\"1.8\"\/><path d=\"M0 0h80v80H0z\"\/><\/g><\/svg><\/p>\n<h2 class=\"accent6 bold\">Deploy<\/h2>\n<p>Annual assessments, incident response planning, and ongoing compliance documentation \u2014 so you're always prepared for an exam.\n<\/p><\/div>\n<\/div>\n<div class=\"cta-consultation\"><a href=\"\/contact-us\/\"><button class=\"btn btn-primary btn-lg uppercase\">Schedule your consultation<\/button><\/a><\/div>\n<\/div>\n<\/section>\n<section class=\"segment2 space-large\">\n<div class=\"container\">\n<div class=\"row\">\n<div class=\"col-md-4 text-center\">\n<div class=\"box-outline\">\n<h3 class=\"uppercase accent\">Step 1<\/h3>\n<h4>GAP ASSESSMENT<\/h4>\n<p>We measure your current program against SEC Rule 206(4)-9 requirements and identify what's missing.<\/p>\n<\/div>\n<\/div>\n<div class=\"col-md-4 text-center\">\n<div class=\"box-outline\">\n<h3 class=\"uppercase accent\">Step 2<\/h3>\n<h4>IMPLEMENTATION<\/h4>\n<p>We deploy technical controls, write policies, and build your compliance documentation library.<\/p>\n<\/div>\n<\/div>\n<div class=\"col-md-4 text-center\">\n<div class=\"box-outline\">\n<h3 class=\"uppercase accent\">Step 3<\/h3>\n<h4>MAINTENANCE<\/h4>\n<p>Annual assessments, policy updates, and incident response readiness \u2014 ongoing compliance support.<\/p>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n<\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":4,"featured_media":0,"parent":4817,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"template-fullwidth.php","meta":{"_acf_changed":false,"_monsterinsights_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"footnotes":""},"class_list":["post-4818","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.2 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC &amp; FINRA Cybersecurity Compliance - Titan Tech IT Support<\/title>\n<meta name=\"robots\" content=\"index, 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