June 3 deadline for small financial firms (≤ $1.5B Assets Under Management). Book an SEC meeting
Meet the SEC cybersecurity compliance deadline with a program you can defend
TorchLight helps small financial firms meet SEC cybersecurity requirements with clear documentation, active monitoring, and incident readiness, without turning your week into a compliance fire drill. In weeks, you can have:
- * A clear SEC-ready cybersecurity plan with documented policies and evidence
- * Active monitoring and response support that fits a lean team
- * A practical roadmap to hit the June 3 deadline with confidence
Built for financial firms. Designed for SEC scrutiny.
SEC cybersecurity requirements: what changed and what you need to show
This includes how you prevent incidents, how you detect them, and how you respond.
You should be able to show
- A written cybersecurity program aligned to your actual risk
- Policies and procedures that staff can follow
- An incident response plan that is tested, not theoretical
- Active monitoring so issues are detected quickly
- A simple process for vendor and third-party oversight
- Recordkeeping and evidence that holds up during an exam
Why “we have IT” is not enough
- The gap is usually documentation, defensibility, and proof
- Small firms get hit hardest because there is no in-house security team
Deadline & Risk
Compliance deadline: June 3, 2026.
If you miss the deadline, the risk is not just “a security issue.” It becomes a business and regulatory problem.
What firms want to avoid
• Getting caught in an exam without clear documentation and evidence
• Expensive, rushed remediation work
• Operational disruption that pulls partners away from clients
• Reputational damage that impacts referrals and growth
Who does this apply to
–
Operate in financial services
Run lean
(4–10 employees)
Manage client assets or handle sensitive client financial data
Need clarity and action, not a technical lecture
Have ≤ $1.5B Assets Under Management
How TorchLight helps SEC-regulated financial firms meet the June 3 deadline
Defensible compliance: documentation, monitoring evidence, and incident readiness.
Our approach
• End-to-end support from assessment to implementation to ongoing readiness
• Compliance-first design, with documentation and evidence baked in
• Lean-team friendly, minimal disruption, clear weekly deliverables
• You do not just “pass.” You stay ready and reduce ongoing regulatory stress.
Explore related SEC readiness topics: Our resource explains the building blocks behind a defensible SEC cybersecurity program. If you prefer the shortcut, book a free SEC compliance call below.
What you can expect
• Rapid SEC readiness assessment: Identify gaps and prioritize what matters before June 3
• Written policies and procedures: Practical documentation your team can follow
• Active monitoring with evidence: Clear monitoring and escalation workflows you can defend
• Incident response planning: Playbooks plus optional tabletop exercise for defensibility
• Disaster recovery and business continuity: Tested backup and recovery, not theory
• Also available: Vendor and third-party oversight basics
Book a Free SEC Compliance Call
• Confirm whether the deadline and expectations apply to your firm
• Identify your top compliance gaps
• Map a realistic plan to be defensible before June 3
• Recommend the best path: internal, TorchLight-led, or hybrid
If you prefer to talk it through, book a free 30′ working session.
Frequently Asked Questions
Who does the SEC cybersecurity rule apply to?
It applies to certain financial firms that manage client assets or handle sensitive client financial data and fall under SEC expectations. If your firm is a small investment or wealth management operation with client data and a compliance deadline tied to June 3, you should treat this as applicable and validate your specific obligations quickly.
What happens if we miss the June 3 deadline?
The biggest risk is being unable to demonstrate a defensible cybersecurity program during regulatory scrutiny. That can lead to remediation orders, operational disruption, and reputational damage. Missing the deadline also increases costs because the work becomes reactive and rushed.
How long does it take to become compliant?
For many small firms, a focused plan can produce a defensible baseline in weeks, not months, if you prioritize documentation, monitoring, and incident readiness. The exact timeline depends on your current maturity and how quickly decisions are made.
What do SEC cybersecurity requirements mean for investment adviser cybersecurity?
For investment adviser cybersecurity, the SEC expects a defensible program you can explain: written policies, evidence of implementation, active monitoring, and an incident response process. Validate specifics with counsel, but the operational theme is documentation plus proof.
Do you provide managed security services in Spokane for financial firms?
Yes. We provide managed security services in Spokane and support financial firms remotely as well. If your priority is the SEC deadline, we focus on documentation, monitoring, and readiness outcomes.
Do small firms really get examined?
Small firms can be examined. Size does not protect you if you manage client assets or client data. In many cases, smaller firms are more exposed because they lack documented programs and consistent evidence.
Can we do this internally with our existing IT provider?
Sometimes, yes. The question is whether you can produce a defensible compliance outcome: written policies, monitoring proof, incident response readiness, and a clear process that stands up to scrutiny. TorchLight often works alongside existing IT to fill the compliance and security gaps without replacing them.
Does TorchLight replace our IT provider?
Not necessarily. TorchLight can complement your IT provider by owning the security and compliance outcome, including documentation, monitoring, and response readiness. If you have strong IT already, we plug the compliance gaps and strengthen security without forcing a rip and replace.
MSP vs MSSP: what is the difference for SEC cybersecurity compliance?
MSP vs MSSP usually comes down to focus. An MSP handles IT operations. An MSSP focuses on security monitoring and response. SEC readiness often requires both operations and a defensible security process, including monitoring evidence and incident response documentation.
“TorchLight has been more than a vendor to our multi-branch Credit Union, they are more like our partner. Our relationship with TorchLight dates back to 2007 when we were one of their very first clients who worked with them on a security assessment and gap analysis. TorchLight has worked with us ever since to help us achieve success for its employees and members through technology. They continue to strategically align with us to provide a full suite of services and have continued to deliver for almost 20 years.”
– Annettee Babb, CEO, PrimeSource Credit Union
Serving credit unions since 2007 • CISSP • CISA • CISM certified team • Led by former IS&T examiner