The SEC warned RIAs in January that examiners would be looking at cybersecurity preparedness when the Commission announced its examination priorities. The SEC also held a cybersecurity roundtable to analyze the vulnerability of regulated entities such as broker-dealers and RIAs.

In April, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a National Exam Program Risk Alert warning advisors of the regulator's intent to assess cybersecurity preparedness in the securities industry by conducting examinations of more than fifty RIAs and regional B-Ds.

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