FINRA Webinars: Third-Party Vendor Request
FINRA’s Third-Party Vendor Request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. The first webinar below provides an overview of the request including why FINRA is requesting this information and how your data will be used, and the second webinar reviews frequently asked questions (FAQ).
These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.
On-Demand Recordings
The recordings listed below are made available to FINRA member firms and CRCP graduates.
Third-Party Vendor Request—Overview – January 28, 2025
Third-Party Vendor Request—FAQ – February 10, 2025 – Recording coming soon!