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Frequently Asked Questions about the Compliance Vendor Directory (CVD)

Firm Information


What is the Compliance Vendor Directory (CVD)?
The CVD is a resource FINRA developed to help firms locate and compare vendors that provide compliance-related services.
Where is the CVD?
You can access the CVD through the Quick Links in FINRA Gateway and on FINRA’s website. You must log in to view, if you do not have FINRA Gateway credentials, see your firm’s Super Account Administrator (SAA) to create an account.
What compliance services are listed in the CVD?
The CVD lists vendors that offer tools or services in the following compliance-related categories: Compliance Consulting, Cybersecurity, Data Management, Information Archive, Exam Prep & Firm CE, Insurance Brokers, Monitoring & Surveillance, PCAOB Registered Accountants and Registration services.
Will using a CVD-listed vendor ensure my firm complies with FINRA rules and regulations?
No.

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 the 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.

Using a CVD vendor does not ensure a firm’s compliance with FINRA rules and regulations. While certain tasks can be performed by a third-party service provider, FINRA reminds firms that the responsibility to supervise these activities for compliance with applicable federal securities laws and regulations, as well as self-regulatory organization rules, remains with the firm. FINRA will review firms' due diligence and risk assessment of providers of outsourced services and their supervision of those services (See NASD Notice to Members 05-48 and FINRA Regulatory Notice 21-29).
Does FINRA evaluate each vendor listed in the CVD?
No. FINRA does not evaluate the vendors listed in the CVD. FINRA requires vendors to annually review and confirm that their compliance offering description is accurate. FINRA also performs an initial review of each vendor’s offering description to check for inappropriate or excessive marketing. FINRA reserves the right to temporarily or permanently remove a vendor from the CVD for any reason, including if FINRA determines that the vendor is displaying inaccurate, misleading or incomplete information.
Do vendors pay to be listed in the CVD?
No. FINRA provides the CVD program free of charge to firms and vendors.
Who should I contact with questions about the Compliance Vendor Directory?
Contact the FINRA Call Center at (301) 590-6500 or send an email.

Vendor Information


I would like to list my company in the CVD, how do I get started?
To get started vendors should request access to the CVD by submitting entitlement forms. Once access is granted, vendors can complete and submit the CVD Application Form which provides information on the company and their compliance offerings.
How do I get access to the CVD and application form?
Vendors are required to fill out two forms:
  1. FINRA Entitlement Agreement (FEA) form; and
  2. FINRA Entitlement form for Compliance Vendor Directory (CVD).
Once the entitlement forms are processed by FINRA, you will receive a login and password to access the CVD Application Form.
Do both the FEA form and the CVD Entitlement form require a signature?
Yes. Both forms require either a handwritten or electronic signature.
How do I submit the FEA and CVD Entitlement forms to FINRA?
You can submit entitlement forms to FINRA through one of three ways:
  1. Email: [email protected]
  2. Fax: (301) 216-3721
  3. Mail: FINRA Entitlement Group, 9509 Key West Avenue, Rockville, MD 20850
How long will it take to receive my login and password to access the CVD Application form?
Allow up to three business days for FINRA to create the CVD account. Once your account has been created, your login and password will be sent to you via email.
Can I create more than one CVD account?
No. Each vendor can only create one CVD account.
Can I view and save my company’s offering information and application form?
Yes. Vendors can log in and view or edit their company or offering information at any time.
Can I use the CVD to view other vendors’ offerings?
No. The CVD is a resource for firms only.
Can I promote my company’s participation in the CVD?
Yes, based on the following guidelines: As a vendor, you agree not to use the names “FINRA” or “Financial Industry Regulatory Authority” or any other FINRA company name or division name, logo, or trademark in any advertising, marketing, online, social or promotional media without the prior written consent of FINRA. You may, however, list the following approved language in online and promotional materials:

[Vendor Name] is listed in the FINRA Compliance Vendor Directory.

Note: Your participation in the CVD is based on your compliance with the above stated guidelines. Your failure to follow these guidelines will result in the termination of your participation in this program.
Who should I contact with questions about the Compliance Vendor Directory?
Contact the FINRA Call Center at (301) 590-6500 or send an email.