FINRA Compliance

CyberOpz can help with FINRA compliance.

What is FINRA?

Financial Industry Regulatory Authority

Making sure your organization is fully compliant with FINRA is critical for your business success and cybersecurity protection. The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. As FINRA enforcement tightens and the SEC adopts new rules to prevent broker conflicts, firms must ensure they are keeping up with these latest trends and ensure they stay compliant. Contact CyberOpz to begin your FINRA assessment today.

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What are the advantages to complying with FINRA?

  • More opportunities for Federal Contracts
  • Preplanned Incident Response
  • Trained and Knowledgable Users
  • Regulatory Compliance
  • Lower Risk of a Catastrophic Databreach
  • More Efficient Employees
  • Clear Policies and Procedures
  • Documented Security Technology Processes
  • More efficient data management
The Process

CyberOpz FINRA Approach

Three steps to begin your compliance journey.

Step 1


For every FINRA client we take on, we begin with a full-scope security review to ascertain what you have, what you need, and where we need to help. This enables us to cost-effectively help you build out the technology and processes you need to be compliant while improving the efficiency of your business.


Step 2


In this step, we begin filling in your security gaps with easy-to-use, high-performance tools that not only help you comply but also help keep your organization safe. We aim to help you meet every applicable security control to make your FINRA Audit a breeze.


Step 3


Complying with State and Federal Cybersecurity Requirements is all about extensive documentation. We will document every applicable control to ensure you have the resources you need for your FINRA audit.

Our FINRA Compliance Process

Updates in Real Time

Throughout the review, gap assessment, implementation, and documentation process we keep you updated in real time. Our world class experts make sure that you know where your security is at and where it's going every step of the way.

Full Managed Solutions

If you are looking for a fully managed FINRA compliance solution look no further. We will take you from initial assessment to audit, and continue to help you manage your cybersecurity program and FINRA compliance on an ongoing basis.

Extreme Experience

Our CISO's and security engineers have decades of experience building fully functional cybersecurity programs for some of the world's biggest companies and government agencies. You're in good hands.

Audit Support

We provide continuous support to all FINRA compliance customers, even during their audit. We are happy to interact directly with your auditor and answer any outstanding questions they have regarding your cybersecurity program.

Utilize your Existing Technology

Many security vendors try to sell you overpriced tools that you don't need. We work with your existing tech stack as much as possible to reduce waste and make FINRA compliance cost-efficient.

Full Docmentation

We provide a full suite of cybersecurity documentation for every client including a Risk Assessment, Remediation Strategy, Vulnerability Management Plan, and Cybersecurity Roadmap. Rest easy knowing that you'll have what you need.


The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. FINRA writes and enforces the rules governing registered brokers and broker-dealer firms in the United States. FINRA also administers the qualifying exams that securities professionals must pass to sell securities or supervise others who do.

FINRA is responsible for the securities industry and stock market oversight and monitors the activities of more than 4,200 brokerage firms and their brokers. All registered brokers and brokerage firms must comply with FINRA or face serious fines.


Each assessment and each client is unique. A security assessment typically takes 30 minutes to four hours for a small business with low complexity compliance requirements.

We offer CMMC, HIPAA HITECH, NIST 171 assistance and other cybersecurity compliance services.


have a question?

CyberOpz can help answer your questions about FINRA compliance.

FINRA Compliance Made Easy

We make meeting your FINRA compliance objectives a breeze. Contact us for a free FINRA consultation.