The World of Cybersecurity and What Registered Representatives Need to Know


In this course, you will learn about various types of cybersecurity threats – some common and some not so common. The course will discuss ways to protect firms from cybersecurity attacks and will also provide information regarding how to handle various situations if your firm is the victim of a cybersecurity attack. Credential stuffing is a specific type of cybersecurity threat, and will be discussed in this course, with suggestions on how to protect firms from this type of risk. Additionally, the course will touch on password management – as this is an area that is of vital importance. Understanding the various types of threats, the assets most likely to be targeted and the likely source of the threats should assist firms in developing a cybersecurity program that is right for their firm.

Learning Objectives

Upon conclusion of this course, you should

  • have an understanding of the importance and value of having a solid cybersecurity framework at your firm;
  • know how to put cybersecurity procedures and protocols in place at your firm;
  • understand the various types of cybersecurity threats facing broker-dealers and registered representatives today;
  • have a solid list of effective practices utilized by other broker-dealers to defend against the most common types of cybersecurity threats;
  • be aware of some of the compliance tools available to assist with cybersecurity;
  • have an understanding of the danger of insider threats and how damaging they can be to a firm;
  • be aware of the risks involved with third-party vendors and ways to handle those risks;
  • be familiar with the concept of credential stuffing and understand the effect it can have on firms; and
  • be aware of the importance of establishing a good password management system.

Designed For

Registered Representatives and Investment Advisers 

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License or Certification