FINRA’s regulation in the Financial Industry plays a critical role by enforcing high standards and offering resources and expertise to regulatory frameworks. The Directory serves as yet another example of a trusted, convenient, one-stop source for firms. 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.
FINRA members can gain access to FINRA’s Compliance Vendor Directory online at: https://www.finra.org/compliance-tools/compliance-vendor-directory
On this page, a link sends FINRA members to a specific FCI page offering FINRA members a free Remote Workplace Arrangements Compliance Review https://fcicyber.com/finra-covid-19/
FCI is a Managed Security Service Provider (MSSP) dedicated to the Financial Services Industry that blends best-of-breed technologies, best practices, expertise and innovation to deliver a cloud-based Cybersecurity Policy Enforcement System for enterprises with independent sales offices and advisors of all sizes. Since 1995, FCI protects private data, provides evidence of compliance of technical control requirements (FINRA, SEC, NAIC, NYDFS, etc.), and seamlessly delivers and remediates cyber compliance, tools and settings for endpoint and network security. FCI cybersecurity monitoring and incident response is on 24/7, 365 days/year.