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Compliance Vendor Directory

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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, Information Archive, Exam Prep & Firm CE, Insurance Brokers, Monitoring & Surveillance, PCAOB Registered Accountants and Registration services.

Firms - View the Directory

To browse the Compliance Vendor Directory, log in to the Firm Gateway. If you do not have Firm Gateway credentials, see your firm Super Account Administrator (SAA) to request a Firm Gateway account. View the Entitlement Program page for more information.

Vendors - List your Company

To list your company in the Compliance Vendor Directory (CVD), log in to complete the CVD Application Form. If you do not have a login, register here for a new account.

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

Free and Discounted Cybersecurity Offerings for Member Firms Dealing with Remote Workplace Arrangements

In response to COVID-19/Coronavirus, FINRA issued Information Notice 3/26/20 Cybersecurity Alert:  Measures to Consider as Firms Respond to the Coronavirus Pandemic.  Firms and their associated representatives should respond appropriately to address the increased vulnerabilities to cybersecurity attacks while working remotely.  Below are several vendors that provide cybersecurity offerings available to member firms at a discount, some with free offerings available during the Coronavirus Pandemic:

OS33
Free “Device Security and Compliance” software available for instant download now.

FCI
Free “Cyber Posture” review. Additional Cybersecurity solutions @ $216/Device/Year.

BlueAlly
Cybersecurity solutions @ $1,170/User/Year.

Entreda
Free “Secure Browsing” software available through summer 2020. Additional End-point cybersecurity solution @ $180/User/Year.


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.

FINRA's Preferred Pricing Program assists firms’ compliance efforts by finding, reviewing, and making third-party tools and services available to firms at discounted prices. These tools and services are provided solely as a convenience to firms. FINRA does not endorse these products and firms are not obligated to use them. Their use does not ensure compliance with FINRA rules or other regulations or laws. Firms should perform their own due diligence, including technical and financial reviews, before making any vendor decisions. FINRA does not receive compensation from companies participating in the Preferred Pricing Program.