FINRA
Financial services regulatory compliance for broker-dealers
What you'll receive:
- Scored gap report showing your compliance level
- AI-generated findings prioritized by severity (Critical, High, Medium, Low)
- Actionable recommendations for each finding
- Professional PDF report for leadership and auditors
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Overview
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that regulates member brokerage firms and exchange markets. FINRA's cybersecurity rules require firms to establish and maintain a cybersecurity program to protect customer information and ensure business continuity.
Key Features
Cybersecurity program requirements
Customer information protection
Business continuity planning
Regular risk assessments and testing
Benefits
Meets financial services regulatory requirements
Protects customer financial information
Reduces risk of regulatory penalties
Enhances customer trust and confidence
Who Should Use This Framework
Broker-dealers and financial firms
Organizations in financial services industry
Companies handling customer financial data
Businesses requiring FINRA compliance
Sample Assessment Questions
Get a preview of the types of questions included in this assessment. Our comprehensive questionnaires help you identify gaps and strengthen your security posture.
Has your firm established a written cybersecurity program approved by senior management?
Are regular risk assessments conducted to identify cybersecurity threats?
Do you have incident response procedures for cybersecurity events?
Are employees trained on cybersecurity risks and firm policies?
Does your firm conduct regular testing of cybersecurity controls and procedures?
Note: These are just a few examples. The complete assessment includes comprehensive questions across all control areas, with AI-powered guidance to help you implement improvements.
Related Frameworks
Ready to Strengthen Your Security Posture?
Start your FINRA assessment today and identify areas for improvement