What we hand clients
before the exam.
Reports, frameworks, and working references written for chief compliance officers, IT leads, and managing partners at SEC-registered advisers. Every document is free to read; downloading the PDF creates your free BrainTrust account.
Core reference documents
Four documents covering the full arc of SEC cybersecurity compliance — from understanding what examiners expect, to building the program, to governing AI, to stress-testing your readiness.
Securing Compliance
What SEC cybersecurity examinations actually ask for, drawn from published deficiency findings and the documentation requests firms receive before an exam. Covers the regulatory framework, a full aggregation of real examination requests, and a 2023 examination notice reproduced in full.
Read & download → Blueprint · OperationsSEC Cybersecurity Compliance Blueprint
A three-phase operations guide for the person responsible for running cybersecurity compliance at an RIA — whether CCO, IT lead, or COO. Phase 1 covers immediate foundation. Phase 2 covers ongoing operations. Phase 3 covers continuous improvement. Includes checklists, deliverables, and evidence cadences for each phase.
Read & download → Framework · 2026AI Compliance Framework
Nine controls for governing AI use at an RIA, mapped to Rule 206(4)-7, Reg S-P, and the SANS and NIST AI Risk Management frameworks. Covers governance, access controls, data protection, deployment strategy, inference security, monitoring, and regulatory alignment.
Read & download → Tool · Self-AssessmentMock SEC Cyber Exam
Walk through the document requests SEC examiners actually send — including thirteen reproduced verbatim — and answer for your own firm. The exam scores what you could produce today and returns a readiness report you can work from.
Take the exam →Templates and tools
Cybersecurity Policies & Procedures Manual
What a compliant P&P manual must cover, how to structure it, and the evidence it needs to generate. The full template — including the Reg S-P revision — is available to BrainTrust Premium subscribers.
Read the guide → Calendar · ChecklistCompliance Calendar
The recurring obligations an SEC-registered adviser carries through the year — annual reviews, filings, ADV deliveries, and the cybersecurity tasks that sit alongside them, organized by quarter.
View & download → ReferenceRegulations Reference
A practitioner breakdown of SEC, FINRA, NYDFS, and state cybersecurity rules — each rule reduced to its obligation, the control that satisfies it, and the evidence an examiner expects.
Open reference →Commentary & analysis
Positions on SEC cybersecurity enforcement, MSP dependency, vendor concentration, and the practical side of running a defensible compliance program. Each piece takes a view rather than summarizing the news.
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