Our compliance tools come in many forms, including templates, checklists and directories. They’re all here to help you and your firm meet regulatory requirements and protect investors and the integrity of the market.
Support Specific to You
With such a wide range of regulatory activities, we recognize investment professionals may require different tools and be interested in different topics. Find compliance support for your specialization with tools you can personalize:
Core Cybersecurity Threats and Effective Controls for Small Firms
This tool helps small firms enhance their customer information protection, and cybersecurity written supervisory programs and related controls by (1) highlighting the most common and recent categories of cybersecurity threats; (2) providing a summary of effective core controls; and (3) listing relevant terms and additional resources.
CAT Onboarding Checklist
Our checklist helps small firms with the CAT onboarding process, deadlines and additional resources.
Never miss an upcoming deadline or event with our compliance calendar.
From threat identification to recovery plan implementation, our cybersecurity checklist helps small firms establish data protection policies.
Weekly Update Email Archive
Review past versions of the FINRA Weekly Update and check out our other email subscriptions available to investment professionals.
Connect on Compliance
Compliance assistance extends far beyond FINRA. Our libraries and directories can connect you with external resources:
Peer-2-Peer Compliance Library
External resources are now all in one place—the FINRA Peer-2-Peer Compliance Library shares materials from FINRA-registered firms that were used at FINRA events.
Compliance Vendor Directory
Through our Compliance Vendor Directory, firms can search for industry organizations offering compliance-related services like consulting and surveillance.
- Anti-Money Laundering Template
- Books and Records Requirements Checklist for Broker Dealers
- Breakpoints Checklist and Worksheet
- Breakpoints Interest Refund Calculator
- Breakpoints Sample Written Disclosure Document
- BrokerCheck Link Requirements in FINRA Rule 2210
- Business Continuity Planning Template
- CAT Onboarding Checklist
- Checklist for Organizational Change
- Compliance Calendar
- Compliance Vendor Directory
- Core Cybersecurity Threats and Effective Controls for Small Firms
- Cybersecurity Checklist
- A Few Minutes with FINRA
- Firm Checklist for Compromised Accounts
- Firm Renewal Report Job Aid
- Mapping of Disclosure Categories for FINRA Rule 1017(a)(7)
- Mapping of Disclosure Categories for FINRA Rule 4111
- New Account Application Template
- Office of Foreign Asset Control (OFAC) Search Tool
- Peer-2-Peer Compliance Library
- Regulation Best Interest (Reg BI) and Form CRS Checklist
- Regulatory News Feed and Email Subscription Services
- Report Center
- Rule 4111 Compliance Tool Glossary
- Small Firms Information
- Topic Pages
- Weekly Update Email Archive
- Written Supervisory Procedures Checklist for Broker Dealers
- Written Supervisory Procedures Checklist for Capital Acquisition Brokers
- Written Supervisory Procedures Checklist for Funding Portals