CISM Information Security Governance Practice Question
A security manager is conducting a regulatory compliance review. Which THREE regulations are most likely to apply to a financial services company operating in the United States?
Answer choices
Why each option matters
Answer the question above first, then reveal the full breakdown to understand why each option is right or wrong.
Correct answer & explanation
✓
SOX (Sarbanes-Oxley Act)
SOX applies to financial reporting, PCI DSS to payment cards, and sector-specific regulations may apply; GDPR is EU-specific.
Answer analysis
Option-by-option breakdown
For each option: why learners choose it and why it is or isn't the right answer here.
- ✗
HIPAA (Health Insurance Portability and Accountability Act)
Why it's wrong here
Applies to healthcare, not typical for financial services.
- ✓
SOX (Sarbanes-Oxley Act)
Why this is correct
Applies to financial reporting controls.
- ✓
PCI DSS (Payment Card Industry Data Security Standard)
Why this is correct
Applies if processing payment cards.
- ✓
Sector-specific regulations (e.g., SEC cybersecurity rules)
Why this is correct
Financial services have specific regulations.
- ✗
GDPR (General Data Protection Regulation)
Why it's wrong here
EU regulation; may not apply unless processing EU data.
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JA
Written by Johnson Ajibi, MSc IT Security
Senior Network & Security Engineer · founder of Courseiva
This CISM practice question is part of Courseiva's free ISACA certification practice question bank. Courseiva provides original exam-style practice questions with explanations, topic-based practice, mock exams, readiness tracking, and study analytics to help learners prepare for the CISM exam.