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Compliance Tools
Use our convenient compliance tools to help your firm meet regulatory requirements.

Our compliance tools come in many forms, including templates, checklists and directories. These optional tools may assist member firms with:

  • Fulfilling their regulatory obligations;
  • Implementing written supervisory procedures (WSPs); and
  • Tailoring their policies and procedures to reflect their size, business model and regulatory needs.

Using these tools does not guarantee compliance with, or create any safe harbor with, respect to FINRA rules, the federal securities laws or state laws, or other applicable federal or state regulatory requirements. These tools do not create any new legal or regulatory obligations for firms or other entities.

Collections of FINRA Resources

FINRA periodically reviews and updates these tools. FINRA reminds member firms to stay apprised of new or amended laws, rules and regulations, and update their WSPs and compliance programs on an ongoing basis, including by leveraging the following resources: 

WSP Checklists

Review these WSP Checklists to evaluate your firm’s compliance program across all relevant regulatory obligations for broker-dealers, Capital Acquisition Brokers (CABs) and Funding Portal (FPs).

Firm Operations Tools


Anti-Money Laundering and Financial Crime

  • Anti-Money Laundering Template
    The template provides text examples, instructions, relevant rules, websites and other resources that help small firms develop an AML compliance program plan.

Restricted Firms

  • Mapping of Disclosure Categories for FINRA Rule 4111
    This category mapping table helps firms to understand FINRA Rule 4111 (Restricted Firm Obligations).
  • FINRA Rule 4111 Compliance Tool Glossary
    This glossary provides information regarding the Rule 4111 Compliance Tool as well as field definitions and access instructions.
  • FINRA Gateway FINRA Rule 4111 Compliance Tool
    This tool will provide, as they are issued, reports of: (1) the annual calculation of whether the member firm met the Preliminary Criteria for Identification, including its Preliminary Identification Metrics, as of the Evaluation Date for a given year; and (2) interim calculations as of an Evaluation Date for that given year. To access the FINRA Rule 4111 Compliance Tool, users need an account in FINRA Gateway.

Other Tools

  • Exchange Act Rule 17a-4 Amendments Chart
    The SEC amended Rule 17a-4 on October 12, 2022 to modify the requirements regarding the maintenance and preservation of electronic records, the use of third-party recordkeeping services to hold records, and the prompt production of records. This chart summarizes the most significant changes.
  • Books and Records Requirements Checklist for Broker Dealers
    This checklist includes some of the books and records broker-dealers are required to create and retain in accordance with Rules 17a-3 and 17a-4 under the Securities and Exchange Act of 1934.
  • Business Continuity Planning Template
    This template helps small firms with fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information). 
  • Firm Renewal Report Job Aid
    This job aid helps firms determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.

Communications and Sales Tools


  • Breakpoints Checklist and Worksheet 
    This checklist and worksheets helps firms evaluate their breakpoint compliance programs to determine whether they are capturing all relevant categories of information.
  • Breakpoints Sample Written Disclosure Document 
    This sample document helps firms prepare a Written Disclosure Statement, which explains the availability of breakpoint discounts at the time of purchase and on a periodic basis.

Other Tools

Market Integrity Tools

If you have questions on the CAT registration or onboarding, please refer to FINRA CAT’s FAQ or contact the FINRA CAT Helpdesk at: (888) 696-3348 or by email.

Report Center 
This resource provides firms with secure access to data and reports that help firms detect potential compliance problems.

Compliance Calendar
Review the calendar for upcoming deadlines and events.

FINRA News and Notifications

Weekly Update Email Archive
Review past versions of the FINRA Weekly Update and check out our other email subscriptions, including notifications of regulatory information and updates, including new speeches, news releases, announcements and publications.

Regulatory News Feed and Email Subscription Services
Review and subscribe to all relevant news feed and email subscriptions for FINRA, SEC and other regulators.

Industry and Other External Resources

Peer-2-Peer Compliance Library
This resource shares compliance tools developed by FINRA-registered firms.

Questions about Compliance Tools

FINRA provides compliance resources to member firms. Contact FINRA Support Center at (301) 590-6500 or by email.

Requests for Interpretive Guidance

FINRA's Office of General Counsel (OGC) staff provides broker-dealers, attorneys, registered representatives, investors and other interested parties with interpretative guidance relating to FINRA’s rules. Please see Interpreting the Rules for more information.


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