Cybersecurity – Part I

June 27, 2017

In the first part of a three-part series, Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with Susan Axelrod, FINRA's Executive Vice President for the Office of Regulatory Operations, and Dave Kelley, the Surveillance Director from FINRA's Kansas City District Office, about common deficiencies FINRA staff see during examinations of firms' cybersecurity programs. (6 min. 34 sec.)