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Exception Tracking Spreadsheet (TicklerTrax™)
Downloaded by more than 1,000 bankers. Free Excel spreadsheet to help you track missing and expiring documents for credit and loans, deposits, trusts, and more. Visualize your exception data in interactive charts and graphs. Provided by bank technology vendor, AccuSystems. Download TicklerTrax for free.

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SEC proposes regs changes for cybersecurity

Yesterday, the Securities and Exchange Commission proposed three changes to cybersecurity-related regulations. First, the Commission announced proposed amendments to Regulation Systems Compliance and Integrity to expand the scope of entities subject to the regulation and to update certain provisions.

The SEC also announced proposed amendments to 17 CFR Parts 232, 240, 242, and 249 to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges, security-based swap data repositories, security-based swap dealers, and transfer agents (collectively, “Market Entities”) to address their cybersecurity risks.

And the SEC announced proposed changes to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, investment companies, registered investment advisers, and transfer agents to provide notice to individuals affected by certain types of data breaches that may put them at risk of identity theft or other harm.

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