FINRA Offers Compliance Vendor Directory

The Financial Industry Regulatory Authority (FINRA) has issued a Compliance Vendor Directory for its members as a new resource for firms searching for vendors that offer compliance-related products and services.  The directory includes nine vendor categories: Compliance Consulting, Cybersecurity, Data Management, Email & Social Media Archive, Exam Prep & Firm CE, Insurance Brokers, Monitoring, PCAOB-Registered Accountants, and Registration Services.

FINRA has been working on finalizing this project since 2016,  and it has reached out to the related vendors to include information regarding their various services.  While the Compliance Vendor Directory is not available to the general public, it can be accessed by member firms.  To access the Compliance Vendor Directory,  a FINRA member firm must log in using its Firm Gateway credentials (user id and password).  If  a firm does not have Firm Gateway credentials for the Compliance Vendor Directory, it should see its firm Super Account Administrator to get a Firm Gateway account created.  Firms can view the entitlement program page for more information.