SEC Rule 17a-4, FINRA cybersecurity requirements, audit trail automation — CYFORi engineers financial regulatory compliance for Texas broker-dealers, RIAs, and financial services firms.
Financial services firms face overlapping regulatory requirements: SEC rules, FINRA regulations, state securities requirements, and increasingly, cybersecurity mandates from both regulators. Texas financial SMBs — from RIAs to broker-dealers to wealth management firms — need a single partner who understands every layer.
CYFORi specializes in SEC Rule 17a-4 (records retention), FINRA cybersecurity requirements, and audit trail automation for Texas financial firms. We build compliance that satisfies regulators while making your operations more efficient.
The financial sector is one of the most targeted by cyberattacks. According to FinCEN, financial institution cyberattacks rose 60% in 2025. CYFORi keeps your firm compliant and protected simultaneously.
FINRA and SEC exams are rigorous and increasingly focus on cybersecurity governance as a primary examination topic. Firms that can't demonstrate robust cybersecurity controls face fines, suspension, or revocation.
CYFORi brings real-world financial sector expertise — not just theoretical compliance knowledge. We've seen what regulators actually look for during examinations.
Every requirement listed below is mapped to your firm's specific operations and documented for exam readiness.
Records retention requirements for broker-dealers. CYFORi automates immutable record-keeping with cryptographic verification and tamper-proof storage.
FINRA's 2019 examination priorities include cybersecurity governance, third-party risk, and incident response. We address all areas.
Privacy of consumer information. CYFORi implements privacy policies, safeguards, and notification requirements.
Identity theft prevention programs for customer accounts. We build and document your identity theft detection program.
Complete audit trail capture across all systems with automated logging, integrity verification, and real-time monitoring.
Texas State Securities Board requirements including Texas Business Organizations Code provisions and state-level compliance.
BSA/AML compliance including SAR filing procedures, customer due diligence, and transaction monitoring requirements.
FINRA-required vendor risk assessments for all service providers, including cloud, managed IT, and financial technology partners.
We handle the entire journey — from regulatory gap analysis to exam-ready documentation — so you can focus on managing client assets.
Identify all applicable SEC, FINRA, and Texas state requirements for your specific firm type
Comprehensive gap analysis against every applicable requirement
Implement controls, policies, automation, and documentation for every gap
Full exam readiness with mock examinations and documentation review
Continuous monitoring, regulatory updates, and annual reassessment
Transparent pricing for financial regulatory compliance. All packages include CYFORi's financial sector expertise.
If your Texas business operates in financial services, these regulations apply to you.
SEC-registered and state-registered RIAs must meet SEC and state requirements simultaneously.
FINRA members with SEC Rule 17a-4 and FINRA cybersecurity examination requirements.
Asset managers, trust companies, and family offices serving high-net-worth clients.
Virtual asset service providers facing increasing regulatory scrutiny and enforcement actions.
Tax and accounting firms handling financial records with SEC and state requirements.
Firms providing compliance services to financial clients need their own compliance documented.
Start with a free financial compliance assessment. We'll evaluate your firm and give you a clear compliance roadmap.