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 will provide an overview of the request including why FINRA is requesting this information and how your data will be used, and the second webinar will review frequently asked questions (FAQ) that are received after the request goes out. 

These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

Upcoming Webinars