Continuing Education Information Sheet

• Describe the SEC's role and cyber enforcement capabilities
• Summarize the 2020 SEC Cybersecurity and Resiliency Observations
• Explain the new 2023 SEC rules on cyber risk management, governance, and incident disclosure
• Recommend best practices for corporate boards and senior leadership

Intended audience: Counsel to public companies, boards, and senior executives navigating SEC cybersecurity oversight and regulatory risk.

Level: advanced

Prerequisites: None

• Daniel B. Garrie, Founder, Law & Forensics; Neutral at JAMS; Faculty at Harvard

  Law & Forensics LLC · JAMS · Harvard · Rutgers Law School · Journal of Law & Cyber Warfare

  Daniel B. Garrie is the founder and executive managing partner of Law & Forensics LLC, a boutique cybersecurity and forensic engineering firm he co-founded in 2008. He serves as a neutral, arbitrator, and forensic special master at JAMS, focusing on cybersecurity, cryptocurrency, and complex technology disputes, and holds faculty appointments at Harvard and Rutgers Law School. A patented software inventor and prolific author, he is editor-in-chief of the Journal of Law & Cyber Warfare and a widely cited authority on computer forensics, eDiscovery, and cyber litigation.

• Endre Jarraux Walls, Founder and Chief Executive Officer, adapfin Technologies

  Endré Jarraux Walls is the founder and chief executive officer of adapfin Technologies, a Chesterbrook, Pennsylvania company whose Nucleus BankOS is an AI-native banking platform designed around the financial institution's customer, integrating core banking, data, operations, risk and regulatory capabilities. He describes himself as a 26-year veteran of several industries, with current operating experience in AI, security and regulated financial services. He previously served as executive vice president and chief operations and technology officer at Customers Bank, which he joined in 2018 as executive vice president and chief information security officer, moving to the operations and technology role in October 2022; before that he was managing partner for global advisory services at Ricoh. He speaks on digital transformation, cloud security in regulated industries, employee risk management and security trends. At Legal Cyber Academy, Endre Jarraux Walls teaches on SEC cybersecurity oversight.

Legal Cyber Academy is not an accredited provider; the notes below explain how a learner may self-submitthis activity where their board permits. The pathways shown reflect this course’s subject matter. Always confirm your board’s current rules.

• Finance/securities subject matter — may support CPE where your state board accepts non-NASBA-registered activities.

• CLE (attorneys)up to 1.1 hr (60-min basis)

  Many U.S. jurisdictions let an attorney apply for CLE credit for a non-accredited program (often called individual attorney or self-application). Use this certificate plus the course Information Sheet as your supporting documentation. Your state bar or CLE board decides whether credit is granted, how much, and any self-study cap.

• CE / CPD (privacy, insurance, IT)up to 1.1 hr (60-min basis)

  Where your professional body recognizes self-reported or self-directed learning (CPD) — for example many privacy (CIPP/CIPM) and security certifications — record this activity using the certificate and Information Sheet. Confirm your program's self-reporting rules and any documentation it requires.

• CPE (accountants)up to 1.3 hr (50-min basis)

  NASBA CPE uses a 50-minute credit hour and has strict self-study standards (registered sponsors, word-count-per-credit, and qualifying review questions). This course is NOT a NASBA-registered self-study program. Some state boards accept non-registered activities at their discretion — verify with your board before claiming CPE.