A free self-assessment for RIAs, broker-dealers, wealth managers, and accounting firms across NY and the tri-state area. Score your firm against NYDFS 23 NYCRR Part 500, NY SHIELD Act, SEC, FINRA, and GLBA — and get a prioritized, regulation-cited action plan.
✓ 100% Free ✓ No signup required ✓ Confidential — answers stay in your browser
BUILT FOR NEW YORK FINANCIAL FIRMS
NYDFS, the SEC, FINRA, and the NY Attorney General all require written cybersecurity and compliance programs. This assessment maps your firm against each one.
Covering 21+ regulatory areas across NYDFS, SEC, FINRA, GLBA, and cybersecurity.
Designed for principals, COOs, and compliance officers.
Score, risk tier, and gap report with specific regulatory citations.
This self-assessment is for informational purposes only and is not legal advice. ITNYC can help you remediate gaps with managed cybersecurity, vCISO, and compliance services tailored to NY financial firms.
