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Compliance Tools
Use our convenient compliance tools to help ensure your firms meet regulatory requirements.

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.

Compliance Calendar
Never miss an upcoming deadline or event with our compliance calendar.

Cybersecurity Checklist
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.  

All Compliance Tools

Contact Compliance Tools

FINRA's Compliance Tools team provides compliance resources to member firms. Contact us at (301) 590-6500 or by email.


Stay up to date on the latest regulatory compliance news, deadlines and content with our email updates. Subscriptions are based on topic, so that you can receive the information that’s most important to you.