SIE practice questionmediumReporting cybersecurity breaches
A significant cybersecurity breach at a broker-dealer must be reported to which of the following regulatory authorities?
- AOCC
- BFederal Reserve
- CFDIC
- DFINRA and the SEC✓ Correct answer
Explanation
Why D — FINRA and the SEC
Significant breaches must be reported to both FINRA and the SEC to ensure regulatory oversight.
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