SEC and FINRA Compliance Consulting

Helping organizations bridge the SEC compliance knowledge gap

CyberSecOp provides financial organizations cost-effectively comply with  FINRA, CFTC, NFA, and MSRB requirements. Our staff has years of SEC and FINRA experience.

CyberSecOp team has been providing expert compliance consulting services to the financial services industry. We take security seriously, we maintaining client relationships and delivering the highest levels of compliance services. Our client base includes some of the most respected names in the financial services industry and ranges from large international firms to small firms. Our satisfied clients include advisers, institutional investors, private funds, investment companies, and broker dealer.

We ensure our client can past examinations, most of our clients are regulated by the SEC, FINRA, FTC, NFA, MSRB and/or state securities regulatory bodies, some of our clients are regulated by multiple regulators, which adds complexity to an already challenging regulatory environment.  Our primary goals is to help  out clients manage this complexity and integrate compliance into the business. 

Benefits from partnering with CyberSecOP  

  • Reduce or eliminate the number and severity of deficiencies and violations found during a U.S. Securities and Exchange Commission (SEC) examination/audit.

  • Decrease firm reputation risk and gain peace of mind that your compliance program, ensure data protection and compliance.

  • We will develop a road map that ensure your organization can withstand audit from SEC, FINRA, FTC, NFA, MSRB and/or state securities regulatory bodies

Providing guidance followed includes, but is not limited to:

  • Gramm-Leach-Bliley Act

  • FFIEC, NCUA Reg 748

  • FDIC, OCC, SEC, FINRA and other agency guidance

  • HIPAA Security Rule 45 CFR Parts 160 & 164

  • HITECH Act

  • OCR

  • NIST SP 800-30, 800-53, 800-53(A), 800-66

  • NIST Cybersecurity Framework

  • FFIEC Cybersecurity Assessment Tool

  • CIS Critical Security Controls


  • ISO 27001

Our expert consultants go deep into your organization to learn all the fine details about your business. once we have all the detail we create a road map to ensure you compliance based on the FINRA, CFTC, NFA, MSRB and other regulators needs.