The FTC Safeguards Rule covers more than banks. It may cover your firm.

Mortgage brokers, consumer lenders, tax preparers and many other non-bank firms fall under it. The rule requires a written security program, a Qualified Individual, MFA and encryption. Since May 2024, a breach involving 500 or more customers must be reported to the FTC within 30 days. We help you put the controls in place and keep the records.

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Where customer data lives

Loan files, tax returns, scanned IDs and email attachments, mapped system by system.

The required controls, in place

MFA, encryption and access reviews, plus the penetration tests and vulnerability scans the rule puts on a schedule.

Records you can produce

The written program, risk assessment and yearly report, kept current.

How it works

Tell us about your firm

What you do and where client data lives. The form takes about a minute.

Gap review

We compare what's in place with each element of the rule.

Close and document

We fix the technical gaps and keep the records current.

Safeguards Rule elements16 CFR 314
PEOPLEA named Qualified Individual
DOCSWritten risk assessment
ACCESSMFA for anyone reaching customer data
DATAEncryption in transit and at rest
TESTYearly pen test, scans every six months
DOCSWritten incident response plan
NOTICEFTC notice within 30 days, 500+ customers

Summary only. Some elements don't apply to firms with records on fewer than 5,000 consumers.

Who the rule covers

Non-bank firms the FTC names

  • Mortgage lenders and brokers
  • Consumer and payday lenders, finance companies
  • Tax preparers
  • Collection agencies and credit counselors
  • Investment advisers not registered with the SEC

Trusted by 100+ companies

  • Liberty Safe
  • Acadia Law Group
  • CandyCo
  • American Fork City
  • Salem City
  • Lucky's Auto Credit
  • Murdock Auto Team
  • GPS

SAFEGUARDS RULE REVIEW

Tell us about your firm

A Tech Legion engineer will call to schedule your Safeguards Rule review.

95%of clients stay with us
100+companies supported
4offices in Utah and Nebraska

Why teams trust us with this

  • Our ethical hacking team runs the penetration tests the rule requires.
  • We run 24/7 monitoring and threat detection.
  • Microsoft-certified technicians, plus A+ and Network+ certified staff.
95% of clients stay with us

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Questions before you ask

How do we know if we're covered?

The FTC's Safeguards Rule guide lists the kinds of businesses it covers. Your attorney can confirm where your firm fits.

We're a small firm. Does all of it apply?

Firms with records on fewer than 5,000 consumers are exempt from some elements, such as the written risk assessment and the yearly board report. The core controls still apply.

Is this legal advice?

No. We handle the technical safeguards and the records. Your attorney should confirm how the rule applies to you.

Are we locked into a contract?

Ongoing service agreements begin after an initial period. We walk you through the terms before you sign anything.

Sources: FTC Safeguards Rule: What Your Business Needs to Know; FTC: Safeguards Rule notification requirement now in effect

Have the records ready before anyone asks

A Safeguards Rule review for your firm, with the technical fixes to follow.

Start My Safeguards ReviewCall 801-SUPPORT