Peer-2-Peer Compliance Library

From cybersecurity to new product review, the FINRA Peer-2-Peer Compliance Library is a one-stop source for templates, checklists and other materials provided by FINRA-registered firms as supplemental resources at FINRA events. Investment professionals can browse the library after logging in with FINRA Gateway credentials. If you have feedback on the Peer-2-Peer Compliance Library, send an email to Member Relations and Education.

View the Library

To browse the Peer-2-Peer Compliance Library, log in using your FINRA Gateway credentials. If you do not have FINRA Gateway credentials, see your firm Super Account Administrator (SAA) to request a FINRA Gateway account. View the Entitlement Program page for more information. Questions? Contact us at (301) 590-6500.

Disclaimer

FINRA's Peer-2-Peer Compliance Library (P2PCL) includes templates, checklists and other documents (collectively, Templates) that are non-exclusively provided as resources to firms for their internal use. Firms are not obligated to use the P2PCL Templates. The P2PCL Templates have been provided to FINRA by FINRA conference and meetings panelists. FINRA does not ensure these resources comply with FINRA rules or other regulations or laws, nor does it endorse the panelists nor their companies. Reliance on these resources should only be undertaken after an independent review of accuracy, compliance, completeness and efficacy.