Compliance Vendor Directory

The FINRA Compliance Vendor Directory is a convenient, one-stop source 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.
 
If you have any questions, please contact the FINRA Call Center at (301) 590-6500, or email FINRA staff.

Firms

Search the Directory in the Firm Gateway.

Vendors

Begin the application process to be listed in the Directory.

*To access the Compliance Vendor Directory (CVD), you must log in using your Firm Gateway credentials (user id and password). If you do not have Firm Gateway credentials, see your firm Super Account Administrator (SAA) to get a Firm Gateway account created. View the entitlement program page for more information.

Disclaimer

FINRA's Compliance Vendor Directory (CVD) includes tools and services that are provided as a convenience to firms. The CVD displays vendor responses to a comprehensive set of questions about vendor compliance offerings. The information included in the CVD may be used to assist firms as they research potential vendors in support of firm compliance requirements. The information is provided solely as a convenience to firms.

FINRA does not endorse the products listed in the CVD and firms are not obligated to use them. FINRA does not ensure the accuracy or completeness of vendor responses and does not endorse any vendors. FINRA strongly suggests that firms perform their own due diligence—including technical and financial reviews—before making any vendor decisions. The use of these services does not ensure compliance with FINRA rules or other regulations or laws. Vendors may not explicitly state or imply otherwise through any means of communication.