The Securities and Exchange Commission of the United States (SEC) plays a crucial role in maintaining cybersecurity in the financial markets. A summary of their involvement is as follows:

Oversight and Guidance:

• The SEC issues cybersecurity guidance for various market participants, such as investment advisors, brokers, and exchanges. This guidance helps them implement measures to protect customer information and financial systems from cyber threats: https://www.sec.gov/securities-topics/cybersecurity.

Monitoring and Enforcement:

• The SEC actively monitors market participants through its National Exam Program, prioritizing cybersecurity as a critical examination area https://www.sec.gov/securities-topics/cybersecurity. It helps identify and address potential vulnerabilities.

Transparency and Disclosure:

• The SEC passed new regulations in July 2023 that mandate public corporations to report significant cybersecurity problems they encounter. Furthermore, according to https://www.sec.gov/rules/2022/03/cybersecurity-risk-management-strategy-governance-and-incident-disclosure, businesses must annually report on their cybersecurity risk management strategies and governance procedures. Investors can make educated judgments because of the vital information this transparency gives them.

The SEC acts as a watchdog, promoting best practices and ensuring proper disclosure of cybersecurity risks within the financial markets.

ThreatNG is an all-in-one solution, combining EASM, DRP, security ratings, and a Sentiment and Financials Investigation Module, which offers a comprehensive approach to managing external threats and risks. Here's how it can benefit organizations in discovering and assessing SEC filings and how it interacts with other security solutions:

Benefits for SEC Filings:

• Continuous Monitoring: The solution constantly scans the external web for SEC filings mentioning your organization or competitors. This proactive approach ensures you get all crucial information.

• Automated Analysis: The system can extract relevant details from filings, such as investigations, financial disclosures, or regulatory actions. It saves time and reduces the risk of human error.

• Early Warning System: By identifying potential issues early, organizations can prepare responses, mitigate potential damage, and proactively engage with regulators.

Interaction with Other Solutions:

• Security Information and Event Management (SIEM): The EASM and DRP components can feed data about external threats and vulnerabilities into the SIEM for a consolidated view of your security posture. The SIEM can then trigger alerts and automate incident response workflows.

• Governance, Risk, and Compliance (GRC): Security ratings and identified SEC filings can be integrated with GRC platforms to ensure compliance with regulations and internal policies. It allows for better risk management and demonstrates a proactive approach to regulatory bodies.

• Risk Management Solutions: Risk management solutions can use the combined threat intelligence from EASM, DRP, and Sentiment analysis to prioritize risks based on potential impact and likelihood.

Real-World Examples:

• Merger and Acquisition (M&A) Due Diligence: The solution can examine SEC filings, lawsuits, and news sentiment to identify possible legal or financial problems related to a target company.

• Competitor Intelligence: Organizations can monitor their competitor's SEC filings to identify strategic shifts, financial performance, or potential regulatory issues.

• Brand Protection: The Sentiment and Financials Investigation Module can track online mentions of the organization in financial news and social media, identifying potential reputational risks or negative press related to SEC investigations.

ThreatNG Advantage

• Centralized Management: A single platform simplifies security operations and reduces the need to manage multiple tools and agents.

• Improved Efficiency: Automation and integration streamline threat detection, analysis, and response workflows.

• Enhanced Visibility: A holistic view of external threats, vulnerabilities, and financial risks allows more informed decision-making.

This all-in-one solution offers a powerful approach to managing external threats and risks. By combining EASM, DRP, security ratings, and financial investigation capabilities, organizations can comprehensively understand their security posture and proactively address potential issues related to SEC filings and other external factors.