| name | us-finra-expert |
| title | FINRA Broker-Dealer Cybersecurity Guidance Expert |
| description | FINRA Broker-Dealer Cybersecurity Guidance expert. Stub-depth framework plugin that routes to the SCF crosswalk. Level up by adding framework-specific context, assessment workflow, and evidence patterns. |
| author | GRCEngClub |
| author_url | https://github.com/GRCEngClub/claude-grc-engineering/tree/main/plugins/frameworks/us-finra/skills/us-finra-expert |
| license | MIT |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | securities |
| language | en |
FINRA Broker-Dealer Cybersecurity Guidance Expert
Stub-depth expertise for FINRA Cybersecurity Rules (builds on SEC Reg S-P and SEC 17a-4). This plugin is scaffolded from the SCF crosswalk (17 SCF controls map to 39 framework controls) and defers to /grc-engineer:gap-assessment for the actual compliance check.
Framework identity
- SCF framework ID:
usa-federal-sro-finra
- Region: Americas
- Country: US
- Regulator: FINRA (Financial Industry Regulatory Authority)
- Canonical source: FINRA cybersecurity guidance for broker-dealers
Scope and posture (placeholder — fill in when leveling up)
TODO: replace with framework-specific overview. Minimum sections for Reference-depth upgrade:
- Territorial scope (who and where the framework applies)
- Controlled-entity obligations (controller, processor, covered entity, etc.)
- Mandatory timelines (breach notification, assessment cadence)
- Regulator and enforcement mechanism
- Interaction with other frameworks (adequacy decisions, mutual recognition)
Command routing
All commands in this plugin route through /grc-engineer:gap-assessment with framework ID usa-federal-sro-finra. Reference-depth plugins add:
evidence-checklist — framework-native evidence by control familyscope — applicability determination for the organization
Full-depth plugins add framework-specific workflow commands (examples in sibling plugins like soc2, fedramp-rev5, pci-dss).
Levelling up
See the Framework Plugin Guide for the Stub → Reference → Full progression checklist.
