FINRA

What is FINRA

FINRA (Financial Industry Regulatory Authority) oversees broker-dealers, trading activities, and compliance programs within the securities industry. In TPRM, vendors supporting financial institutions may need to demonstrate controls aligned with FINRA cybersecurity and supervision expectations.

FAQs

Does FINRA apply to vendors?

Indirectly, through obligations imposed on regulated entities.

Does FINRA require cyber programs?

Yes, strong cybersecurity programs are expected.

Are third-party risks regulated?

Yes, firms must supervise outsourced activities.