Compliance Vendor Directory

COMPLIANCE TOOLS

Compliance Vendor Directory

The FINRA Compliance Vendor Directory (CVD) provides firms a convenient, effective way to search for vendors that offer the following compliance-related services: Compliance Consulting, Cybersecurity, Data Management, Email & Social Media Archive, Exam Prep & Firm CE, Insurance Brokers, Monitoring & Surveillance, PCAOB Registered Accountants and Registration services.

October 2018 enhancements to the Compliance Vendor Directory (CVD) include new features that enable firms to:
  • perform a keyword search for terms included in a vendor’s compliance description;
  • compare compliance offerings side-by-side for up to three vendors; and
  • filter and view vendors with small firm (less than 150 registered representatives) clients.

Questions? Please visit our Frequently Asked Questions page or contact us at (301) 590-6500 or by email.

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.