FINRA - Helping Broker-Dealers with Compliance Tools
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FINRA is a non-profit organization that regulates broker-dealers to protect investors. It offers various compliance tools to help firms comply with regulations, including a compliance calendar to track deadlines, a vendor directory to find compliance services, a cybersecurity checklist to develop cybersecurity programs, and an email archive of regulatory updates.
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Indira P.S Vs sub Collector Kochi - The settlement register is not a holy cow...
Indira P.S Vs sub Collector Kochi - The settlement register is not a holy cow...Jamesadhikaram land matter consultancy 9447464502
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FINRA - Helping Broker-Dealers with Compliance Tools
- 1. FINRA - Helping Broker-Dealers with Compliance Tools By: Mary Brosmith
- 2. FINRA - Helping Broker-Dealers with Compliance Tools Mary Brosmith serves as a merchandising representative at Lawrence Merchandising Services, operating out of Plymouth, Minnesota. Her marketing experience spans more than 30 years and includes the role of marketing manager at Massachusetts Financial Services. In that position, Mary Brosmith drew on various Financial Industry Regulatory Authority (FINRA) licenses to assist in product development.
- 3. FINRA - Helping Broker-Dealers with Compliance Tools FINRA is a Congress-authorized not-for-profit organization that protects investors by regulating the broker-dealer industry. FINRA offers numerous compliance tools to help industry professionals comply with its regulations, including the following:
- 4. FINRA - Helping Broker-Dealers with Compliance Tools The Compliance Calendar helps firms keep track of deadlines and events. Companies can log into the Firm Gateway and click on the calendar tab to find events that are relevant to them.
- 5. FINRA - Helping Broker-Dealers with Compliance Tools The Compliance Vendor Directory allows companies to search for vendors with compliance-related offerings, including cybersecurity and data management. Users can browse this directory from the Firm Gateway or list their companies in the directory.
- 6. FINRA - Helping Broker-Dealers with Compliance Tools The Cybersecurity Checklist is developed from the National Institute of Standards and Technology Cybersecurity Framework and FINRA’s Report on Cybersecurity Practices. It helps small firms develop a cybersecurity program to protect assets and recover lost ones.
- 7. FINRA - Helping Broker-Dealers with Compliance Tools The Weekly Update Email Archive comprises a collection of the last 12 months of FINRA's Weekly Update email, which businesses can access to find updated regulatory information.