2025 Third-Party Vendor Request via FINRA Gateway

On January 21, 2025, FINRA published the 2025 Third-Party Vendor Request in FINRA Gateway, asking firms to provide information about their third-party vendors and banks by February 25, 2025. Individuals with certain entitlements to the FINRA Gateway system received a related email and Gateway notification. 

Overview of the 2025 Third-Party Vendor Request – FINRA is requesting all firms (including all RSA Exchange Members) submit information related to their critical third-party vendors and banks, which includes all third-party providers that are essential to firms’ operations, processes or functions. 

Why FINRA is Requesting This Information – FINRA issued a similar request in 2023 and used the information provided to respond to dynamic regulatory needs and conduct targeted firm outreach related to issues and events impacting firms’ third-party vendors.  The 2025 Third-Party Vendor Request is substantively similar to the 2023 request, but with enhanced technical functionality to make completion of the requestor easier.

How to Access the Request – Each firm’s Super Account Administrator (SAA) administers access to the request in FINRA Gateway. The specific entitlement “Information Request Forms–Submit” will provide firms with access to the 2025 Third-Party Vendor Request. Please grant access to this entitlement to relevant staff, so they are able to complete the request by the February 25, 2025, deadline. 

Additional Support – Firms may view this reference guide for additional guidance on accessing the request and instructions to view firm’s previous submission, if applicable. 

Webinars – For a more detailed overview of the 2025 Third-Party Vendor Request, FINRA is hosting two related webinars. Register today, ask questions in advance and join us live to hear directly from FINRA staff.

Questions – Please direct questions regarding the content or timing of the 2025 Third-Party Vendor Request to your Risk Monitoring Analyst (RMA). If you need help identifying your RMA, or if you or your firm’s SAA have entitlement or technical questions, please contact the FINRA Support Center at (800) 321-6273 or [email protected]. 

Frequently Asked Questions (FAQ) About FINRA’s 2025 Third-Party Vendor Request 

1. Why can I not see the request?
   If you cannot see the request, check if your firm’s SAA has given you the “Submit” entitlement in the “Information Request Forms” section to view and edit the request.
    
2. How can I view my firm’s previous vendor questionnaire response?
   If your firm completed the 2023 Vendor Questionnaire request, you will be able to locate the previous submission by searching “Vendor Questionnaire” and then clicking on the hyperlink. See Quick Reference Guide.
    
3. What is different from the previous version of this request?
   The request is substantively similar to the 2023 request but includes enhanced functionality to make the completion of the request easier.  
    
4. What if the vendor or bank I use is not in a prepopulated list? 
   If the vendor or bank your firm uses is not in the list, mark the checkbox next to “Other” and then select “Add New”.  To enter more, select “Add New” again. See Quick Reference Guide.
    
5. Can multiple people work on the request at the same time?
   Yes, but it is not recommended. If multiple people are working on the request at the same time, they can overwrite the other’s work. A recommended approach for multiple people working on the request is to print the request and share with others to gather responses and then record final answers in the system to submit.
    
6. Can I save my work and return to it later? If so, where do I locate my unsubmitted work?
   You can save your firm’s responses by clicking on the “Save” button and then closing the request. To locate saved responses, search for the request in the “Active” tab and click on the hyperlink. See Quick Reference Guide.
    
7. How do I know the request was successfully submitted?
   Confirmation will be provided upon submission within FINRA Gateway, and the request will then be displayed in the “Completed” section under Requests & Filings.
    
8. Can the submission be amended? 
   Yes, to amend your firm’s responses, go the "Completed" tab in "Request & Filings", find the “2025 Vendor Request” then select, "Create Amendment." See Quick Reference Guide.
    
9. If I create an amendment in error, can it be deleted?
   No, the amendment must be submitted and cannot be deleted.  However, the amendment can be submitted with no changes.
    
10. Can I print out this request, including answers to the previous request from 2023? 
    Yes, the print feature is available for draft versions and completed versions of these requests.
     
11. Who should I reach out to if I have questions about this request?
    For technical support, contact the FINRA Support Center at (800) 321-6273 or email [email protected]. For any other questions regarding the request, contact your Risk Monitoring Analyst listed in FINRA Gateway.