VETERAN-OWNED · HOUSTON · 26+ YEARS
FINRA Cybersecurity Houston
FINRA cybersecurity compliance IT for Houston broker-dealers — Rule 17a-4 and more.
FINRA cybersecurity compliance for Houston broker-dealers and investment advisers.
📅 Book Your Free IT Assessment
⚡ Limited slots · Same-week response guaranteed
FINRA-regulated broker-dealers in Houston must comply with SEC and FINRA cybersecurity requirements including SEC Regulation S-P for safeguarding client information, FINRA Rule 4370 for business continuity, SEC Rule 17a-4 for records preservation, and increasing FINRA cybersecurity examination focus areas including governance, risk management, and vendor oversight.
SpaceTown IT has provided IT compliance services to Houston businesses for 26+ years. Our veteran-owned team understands the intersection of technology, compliance, and business operations — delivering practical compliance programs that protect your business without disrupting your operations. We work alongside your legal and compliance counsel to implement the technical controls and documentation that auditors, regulators, and insurers require. Call (832) 304-9748 or book your free compliance assessment today.
🔒 Technology Overview
FINRA cybersecurity compliance delivered by SpaceTown IT for Houston broker-dealers includes: Regulation S-P safeguards rule implementation including written information security program (WISP), SEC Rule 17a-4 compliant email and records archiving with non-erasable, non-rewritable storage, business continuity plan meeting FINRA Rule 4370 requirements, cybersecurity incident response plan and testing, branch office IT security standardization, vendor due diligence program for technology providers handling customer information, multi-factor authentication for all employee access to customer data systems, and SEC/FINRA examination support providing technical documentation to examiners.
Without vs. With SpaceTown IT
❌ Without SpaceTown IT
- ⚠ Regulation S-P Written Information Security Program not documented
- ⚠ SEC Rule 17a-4 email archiving non-compliant — records not preserved correctly
- ⚠ Business continuity plan outdated or not tested — FINRA examination finding risk
- ⚠ Security gaps creating compliance exposure
- ⚠ Vendor relationship management consuming your time
✓ With SpaceTown IT
- ✓ Written Information Security Program (WISP) documented and implemented
- ✓ SEC Rule 17a-4 compliant email archiving with WORM storage deployed
- ✓ Business continuity plan tested and documented per FINRA Rule 4370 requirements
- ✓ Compliance-ready configuration and documentation
- ✓ Full vendor management included in engagement
What Houston Business Owners Say
“SpaceTown IT deployed our new security platform in under a week with zero disruption. They knew the technology cold and had us protected immediately.”
— A. Martinez, IT Director · Gulf Coast Energy Group
“Our compliance audit went from stressful to straightforward after SpaceTown IT implemented our compliance framework. Every control documented and tested.”
— S. Johnson, Compliance Officer · Texas Healthcare Associates
“We were using outdated technology and knew it. SpaceTown IT modernized our entire stack, trained our team, and handled every vendor relationship. Exceptional.”
— B. Nguyen, CEO · Houston Professional Services Group
Frequently Asked Questions
Ready to Get Started?
Book a free 30-minute IT assessment and learn how SpaceTown IT can deploy and manage this technology for your Houston business.
⚡ Limited slots · Same-week scheduling · Veteran-owned · Houston since 1998
Or call: (832) 304-9748