Confirm FINRA applies and what it asks
Who it covers, what it asks for in plain words, and the dates that matter. The regulator has the final say; we read it with you.
Financial · FINRA
FINRA Rules 3110 and 4370
Supervisory systems and business continuity, with cyber-enabled fraud and GenAI now in the 2026 oversight report.
Rather skip the call? Get a fixed-fee FINRA quote in writing.
One control set, every frameworkLed by Sam Khan, CISA and CRISCPublic pricing
Who it applies to
The businesses that carry FINRA, and the pages written for them.
Each industry page names the regulation, the obligation and the clock, tells the story of an owner in that trade, and shows what we protect for them.
Which packages prepare you for it
Cyber and Data Protection Assessment
Any business of 10 to 500 people that has never had a real assessment, or has not had one in a year
There is no FINRA package of its own yet. The Cyber and Data Protection Assessment covers the controls most of it shares with other frameworks, and the FINRA-specific requirements are scoped with you in a 30-minute call.
What it asks for
In plain English, what FINRA expects you to have in place.
- A supervisory system (Rule 3110)Written supervisory procedures that cover cybersecurity, a designated principal, and reviews of who can reach customer data and systems.
- A business continuity plan (Rule 4370)Data backup and recovery, mission-critical systems, how customers reach you, and emergency contacts kept current with FINRA, reviewed every year.
- Customer records protected (Reg S-P)Policies that safeguard customer information, with notice to affected customers when it is accessed without authorization.
- An identity theft program (Reg S-ID)Red flags for account takeover and new-account fraud, and what staff do when they see one.
- Vendor oversightThird parties that touch customer data or systems assessed, contracted and supervised like the firm itself.
- Testing and reviewControls tested on a schedule and the results reviewed by the principal responsible.
A note on authority: the regulator, auditor or certifying body has the final say on whether you comply. We help interpret the requirements, scope what applies, gap-assess against what is published today, and keep you compliance-ready and secure as the guidance evolves. We hold no regulatory authority and do not certify.
Where it starts
Your one-stop shop for FINRA
FINRA expects a supervisory system that covers cybersecurity, a business continuity plan that works, and controls against the fraud its 2026 report describes: account takeover, impostor sites, AI-written phishing.
We write the procedures, test the continuity plan and keep the evidence the examiner asks for.
What holds customer records: tick what applies
Tick what applies and we show what the supervisory procedures must cover.
The steps
Six steps from "does FINRA apply to us?" to evidence you can show
The whole FINRA journey, short version. We handle every step with you.
Scope it
Which systems, data, people and vendors are in. A clear boundary is a smaller job and a cleaner answer.
With AccuSights: we scope it with you from the intake form and put it in writing.
Run the gap assessment
What you have versus what the rule expects: tooling, configurations, policies and the records that prove each one.
With AccuSights: your engineer tells you how far each control needs to go.
Fix and document
Most gaps are in the policies and workflows nobody wrote down, not the firewall.
With AccuSights: remediation is in-house or with your IT provider, verified in your real environment.
Stay continuously compliant
Controls drift between reviews. Someone has to notice.
- Laptops encryptedPassing
- MFA on every accountPassing
- Backups restored this quarterPassing
- Access reviewed this quarterPassing
With AccuSights: our endpoint agent and monitoring catch the drift and flag it to your engineer.
Report, renew, reuse
The evidence that proves it, filed where the next inspector, auditor or customer can find it, and mapped to the next framework you need.
With AccuSights: evidence keeps collecting itself, so next year is a renewal and not a rerun.
Why AccuSights
Why small teams pick AccuSights for FINRA
Most compliance platforms assume you have a security team. We built this for the companies that do not.
Priced for a startup, not a Series D
One fixed fee, scoped from the intake form and put in writing. No seat math, no surprise add-ons at renewal.
The endpoint agent is built in
Our own agent collects device evidence from every laptop and server automatically. You do not need to buy or configure an enterprise MDM first.
A human who has done this before
A named engineer guides every step, answers the "how far do we take this control?" questions and stays through the audit.
Written once, read everywhere
One control set is mapped to every framework you carry, so evidence is produced once and reused.
What it costs
What FINRA costs, in plain numbers
Here is what is published, with who published it and when.
A fixed feeReadiness and the fixes, in writing within 24 hours of the intake form.Source: AccuSights pricing page (2026)
From $25 a user a monthProtect: AI-powered monitoring of your computers and email day and night, with AccuSights engineers who call you. 10 users minimum.Source: AccuSights pricing page (2026)
Our part is a fixed fee. Tell us about your environment on the short intake form and you have a number in writing within 24 hours of sending it back.
Self-serve compliance software
- You get a portal and drive it yourself.
- Expert help is often a separate purchase or a partner referral.
- Device checks usually need an MDM you set up first.
- Pricing comes after a sales call.
AccuSights
- A named engineer runs it with you.
- Guidance and remediation are included, not referred out.
- The endpoint agent ships with the platform.
- A fixed fee, in writing, within 24 hours of the intake form.
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Read more
More on FINRA, in plain words.
Questions
FINRA questions we get every week
What does FINRA Rule 4370 require?
A written business continuity plan reasonably designed to let the firm meet its obligations to customers during a significant business disruption, including data backup and recovery, alternate communications and critical systems. Review it at least once a year, update it after material changes and keep emergency contacts current with FINRA.Source: FINRA Rule 4370
How does Rule 3110 apply to cybersecurity?
Rule 3110 requires a supervisory system reasonably designed to achieve compliance. Examiners read that to include supervising how staff handle customer data, remote access, email and new technology such as generative AI tools. Written procedures, access reviews and evidence of review are what they ask to see.Source: FINRA Rule 3110
What does the 2026 oversight report say about cybersecurity?
It highlights cyber-enabled fraud such as account takeovers and new account fraud, risks from third-party vendors, and the governance of generative AI. It also confirms that the amended Regulation S-P applies to smaller firms from 3 June 2026. Use it as the examiner's checklist for the year.Source: FINRA 2026 oversight report, cybersecurity
How does Regulation S-P relate to FINRA?
Regulation S-P is an SEC rule that FINRA examines member broker-dealers for. Its 2024 amendments add a written incident response program, 30-day customer notice and service provider oversight. Building it together with your Rule 4370 continuity plan avoids two documents that disagree about who does what in an incident.Source: SEC, Regulation S-P compliance outreach
Do you replace our compliance officer?
No. Your CCO and principals keep their supervisory duties. We supply the security side: the risk assessment, the controls, vendor reviews, the incident plan and tabletop, and evidence in a form your compliance team can show an examiner.
Do you certify FINRA compliance?
No. We do not certify, and the regulator, examiner or independent auditor for FINRA has the final say. We interpret the requirements for your business, scope what applies, close the gaps and keep the evidence current, so you go into any audit, assessment or examination with the evidence already in hand.
Where do we start with FINRA?
With the 3-minute Cyber Hygiene Test if you want a number today, or with the 30-minute call if you want a written scope and a fixed fee. Either way the first deliverable is a gap list ranked by what would fail and what would hurt.
We also need other frameworks. Do we do FINRA separately?
No. We build one control set and map it to every framework you carry, so evidence is produced once and reused. Adding a framework later is a mapping exercise, not a second program.
Also in Financial: PCI DSS · FTC Safeguards · SEC Reg S-P · NYDFS 500 · every framework by industry
Next step
Thirty minutes, an engineer, a written scope for FINRA.
Book the demo and see how one control set carries FINRA and everything else you owe. Or leave your details and an engineer replies within one business day.