NRS Course Catalog

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Cybersecurity - Threats and Trends

Course Code: CE_CYBERTT

Audience

Cybersecurity - Threats and Trends is designed financial services professionals who have contact with sensitive customer information or have responsibilities related to the protection of both customer information and/or proprietary firm information. This includes supervisors and those who develop firm policies related to cybersecurity. This course also benefits all associated persons who wish to learn more about how to protect this information from misuse and illegal activity.

Course Description

This course describes the importance of a cybersecurity program, beginning with FINRA’s 2015 Report on Cybersecurity Practices, which includes the top cybersecurity threats and suggested preventative measures. The course continues with the SEC’s 2017 Cybersecurity Risk Alert, which details findings from its most recent sweep. The course explores the tactics used to hack into a firm’s systems and ways that firms and employees can prevent these breaches. Best practices for employees who handle confidential and sensitive information are discussed, and examples are given for the specific information that must be protected.

Cybersecurity for Representatives and Clients

Course Code: CE_CYBERRC

Audience

Cybersecurity for Representatives and Clients is designed for those working in the financial services industry who have contact with sensitive customer information or have responsibilities related to the protection of both customer information and/or proprietary firm information. This course is beneficial for all associated persons who wish to learn more about how to protect this information from misuse and illegal activity, and how to educate clients on protecting their financial information.

Course Description

This course describes the importance of a cybersecurity program, the tactics used to hack into a firm's systems, and ways that representatives and their clients can prevent these breaches. Best practices for employees who handle confidential and sensitive information are discussed, and examples are given for the specific information that must be protected. Finally, the course describes FINRA's recent focus on specific aspects of cybersecurity such as cloud storage, crowdfunding, and customer account protection.

CFP Program ID: 234855     CFP Credit Hours: 1.00

Cybersecurity: Risk Management and Supervision

Course Code: CE_CYBERRMS

Audience

Cybersecurity: Risk Management and Supervision is designed for those working in the financial services industry who have responsibilities related to the protection of both customer information and/or proprietary firm information, including supervisors, legal and compliance personnel, as well as those who develop firm policies related to cybersecurity. This course is beneficial for all associated persons who wish to learn more about how to protect this information from misuse and illegal activity.

Course Description

This course explores the cybersecurity risk management policies that the regulators expect firms to have in place. Best practices for employees who handle confidential and sensitive information are discussed, and examples are given for the specific information that must be protected. Finally, eight resources for developing and advancing a firm’s cybersecurity program are laid out. A scenario and examples throughout the course help illustrate the need for a strict cybersecurity program and appropriate cyber supervisory controls.

IA - Cybersecurity

Course Code: CE_IACYBER

Audience

IA - Cybersecurity is designed for those working at investment adviser firms who have responsibilities related to the protection of both customer information and/or proprietary firm information - supervisors, legal, compliance and IT personnel, as well as those who develop firm policies related to cybersecurity. This course is beneficial for all associated persons who wish to learn more about how to protect this information from misuse and illegal activity.

Course Description

This course explores the cybersecurity risk management policies and procedures that regulators expect firms to have in place. Best practices for employees who create cybersecurity plans and the employees who are impacted by them are described. Finally, resources for developing and advancing a firm’s cybersecurity program are laid out. A scenario and examples throughout the course help illustrate the need for a strict cybersecurity program and appropriate cyber supervisory controls.

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