Third-Party Vendor Request - Overview (Duration: 31 minutes)
FINRA’s Third-Party Vendor Request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. The first webinar below provides an overview of the request including why FINRA is requesting this information and how your data will be used, and the second webinar reviews frequently asked questions (FAQ).
These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.
On-Demand Recording
The recording listed below is made available to FINRA member firms and CRCP graduates.
Third-Party Vendor Request—Overview – January 28, 2025