National Compliance Outreach Program

for Broker-Dealers

Chicago, IL

June 27, 2019

Resource List

Panel 1: Insights from SEC and FINRA Leadership

• SEC 2019 Examination Priorities

https://www.sec.gov/files/OCIE%202019%20Priorities.pdf

• FINRA 2019 Risk Monitoring and Examination Priorities Letter

https://www.finra.org/sites/default/files/2019_Risk_Monitoring_and_Examination_Priorities

_Letter.pdf

Panel 2: Protecting the Retail Investor 

• SEC, Director of the Office of Compliance Inspections and Examinations (“OCIE”), Peter Driscoll: 

How We Protect Retail Investors (April 29, 2019)

https://www.sec.gov/news/speech/speech-driscoll-042919

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Retirement-Targeted Industry 

Reviews and Examinations Initiative (June 22, 2015) 

www.sec.gov/about/offices/ocie/retirement-targeted-industry-reviews-and-examinations-initiative.pdf

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Broker-Dealer Controls 

Regarding Customer Sales of Microcap Securities (October 9, 2014)

https://www.sec.gov/about/offices/ocie/broker-dealer-controls-microcap-securities.pdf

• SEC, Office of Compliance Inspections and Examination Risk Alert: Strengthening Practices for the 

Underwriting of Municipal Securities (March 19, 2012)

https://www.sec.gov/about/offices/ocie/riskalert-muniduediligence.pdf

• SEC, Office of Compliance Inspections and Examination Risk Alert: Broker-Dealer Branch 

Inspections (November 30, 2011)

https://www.sec.gov/about/offices/ocie/riskalert-bdbranchinspections.pdf

• SEC, Division of Investment Management Guidance Update – Inadvertent Custody: Advisory 

Contract versus Custodial Contract (February, 2017)

https://www.sec.gov/investment/im-guidance-2017-01.pdf

• SEC’s Investor.gov, Guide for Seniors: Protect Yourself Against Investment Fraud 

https://www.investor.gov/additional-resources/general-resources/publicationsresearch/publications/guide-seniors-protect

• SEC’s Investor.gov, Investor Bulletin and Consumer Advisory: Planning for Diminished Capacity 

and Illness (June 1, 2015)
https://investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-bulletin-consumeradvisory-planning

• SEC’s Investor.gov, Senior Specialists Designations

https://www.investor.gov/introduction-investing/retirement/senior-specialists-designations

• SEC.gov Senior Investor Resources

https://www.sec.gov/divisions/marketreg/seniorinvestors.htm

• SEC, Spotlight on Fixed Income Market Structure Advisory Committee (FIMSAC)

https://www.sec.gov/spotlight/fixed-income-advisory-committee

• Protecting Senior Investors: Compliance, Supervisory and Other Practices Used By Financial 

Services Firms in Serving Senior Investors (Securities and Exchange Commission’s Office of 

Compliance Inspections and Examinations, North American Securities Administrators Association, 

and Financial Industry Regulatory Authority) (September 22, 2008) 

www.sec.gov/spotlight/seniors/seniorspracticesreport092208.pdf

• FINRA Conflicts of Interest Review – Compensation and Oversight (August, 2015)

www.finra.org/industry/conflicts-interest-review-compensation-and-oversight

• FINRA Launches Toll-Free FINRA Securities Helpline for Seniors

www.finra.org/newsroom/2015/finra-launches-toll-free-finra-securities-helpline-seniors

• FINRA Regulatory Notice 15-37, Financial Exploitation of Seniors and Other Vulnerable Adults, 

Request for Comment on Rule Proposal (October, 2015) 

www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-15-37.pdf

• FINRA Regulatory Notice 11-52, Senior Designations, FINRA Reminds Firms of Their Obligations 

Regarding the Supervision of Registered Persons Using Senior Designations (November, 2011)

www.finra.org/sites/default/files/NoticeDocument/p125092.pdf

• FINRA Regulatory Notice 07-43, Senior Investors: FINRA Reminds Firms of Their Obligations 

Relating to Senior Investors and Highlights Industry Practices to Serve these Customers (September, 

2007)

www.finra.org/sites/default/files/NoticeDocument/p036816.pdf

• FINRA’s Report on the Securities Helpline for Seniors (December, 2015) 

www.finra.org/sites/default/files/Securities_Helpline_for_Seniors_Report.pdf

• FINRA’s Report on Conflicts of Interest (October, 2013)

http://www.finra.org/sites/default/files/Industry/p359971.pdf

• National Senior Investor Initiative 

www.finra.org/sites/default/files/SEC%20National%20Senior%20Investor%20Initiative.pdf
Panel 3: Compliance Hot Topics: Digital Assets and Cybersecurity

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Safeguarding Customer 

Records and Information in Network Storage – Use of Third Party Security Features (May 23, 

2019) 

https://www.sec.gov/files/OCIE%20Risk%20Alert%20-%20Network%20Storage.pdf

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Investment Adviser and 

Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard 

Policies (April 16, 2019) 

https://www.sec.gov/files/OCIE%20Risk%20Alert%20-%20Regulation%20S-P.pdf

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Observations from 

Cybersecurity Examinations (August 7, 2017)

https://www.sec.gov/files/observations-from-cybersecurity-examinations.pdf

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Cybersecurity: 

Ransomware Alert (May 17, 2017)

https://www.sec.gov/files/risk-alert-cybersecurity-ransomware-alert.pdf

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Cybersecurity 

Examination Initiative (September 15, 2015)

https://www.sec.gov/ocie/announcement/ocie-2015-cybersecurity-examination-initiative.pdf

• SEC, Office of Compliance Inspections and Examinations Risk Alert: Cybersecurity Examination 

Sweep Summary (February 3, 2015)

http://www.sec.gov/about/offices/ocie/cybersecurity-examination-sweep-summary.pdf

• SEC’s Strategic Hub for Innovation and Financial Technology “FinHub”

https://www.sec.gov/finhub

• SEC, Division of Investment Management, Guidance Update – Cybersecurity Guidance (April, 

2015) http://www.sec.gov/investment/im-guidance-2015-02.pdf 

• SEC’s FinHub Framework for “Investment Contract” Analysis of Digital Assets

https://www.sec.gov/corpfin/framework-investment-contract-analysis-digital-assets

• SEC.gov Resources for Regulation S-P and S-AM

https://www.sec.gov/divisions/marketreg/regspsam.htm

• FINRA, Information Notice, Distributed Denial of Service (DDoS) Attacks on Member Firms

(June 19, 2015) http://www.finra.org/industry/information-notice-061915

• FINRA, Investor Alerts

www.finra.org/investors/alerts/cybersecurity-and-your-brokerage-firm

• FINRA, Report on Cybersecurity Practices (February 2015)

https://www.finra.org/web/groups/industry/%40ip/%40reg/%40guide/documents/industry/p6023

63.pdf
• FINRA, Small Firm Cyber Checklist (June 2016) 

http://www.finra.org/industry/cybersecurity?utm_source=MM&utm_medium=email&utm_camp

aign=Weekly_Update_060116_FINAL

• Department of Homeland Security, About the Critical Infrastructure Cyber Community C3

Voluntary Program (last published date: June 17, 2015)

http://www.dhs.gov/about-critical-infrastructure-cyber-community-c%C2%B3-voluntaryprogram 

• Department of Justice, Cybersecurity Unit, Computer Crime & Intellectual Property Section, 

Criminal Division, Best Practices for Victim Response and Reporting of Cyber Incidents (April 

2015)

http://www.justice.gov/sites/default/files/criminal-ccips/legacy/2015/04/30/04272015reportingcyber-incidents-final.pdf 

• The National Institute of Standards and Technology (NIST), Cybersecurity Framework

http://www.nist.gov/cyberframework/

• OICU-IOSCO, Guidance on Cyber Resilience of Financial Market Infrastructures (June 2016) 

http://www.bis.org/cpmi/publ/d146.pdf