The Financial Industry Regulatory Authority (FINRA) is an independent regulatory body monitored by the SEC to manage and protect the financial industry against breaches in regulations that could lead to corruption, fraud or theft. All told, FINRA monitors up to 4,200 brokerage firms up to 75 billion transactions each day. 

As part of that mission, FINRA develops and implements a set of compliance requirements that protect financial transactions against theft. This includes several layers of financial best practices as well as cybersecurity measures that protect communications, transactions and data every single day. 

Here, we’ll cover the basics of FINRA compliance and what it could mean for your business. 

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In a previous article, we discussed GDPR compliance for businesses in the European Union. Simply put, GDPR changed the way that businesses can use consumer data for marketing and business purposes while giving more control to consumers in terms of how that data is stored, deleted or transmitted. 

While GDPR is not a standard in the United States (and in many ways, GDPR contradicts U.S. laws), several states have introduced their own, more rigorous compliance standards to protect consumers. One of these is the California Consumer Privacy Act or CCPA. This law creates several standards that businesses must follow in the state of California to protect customer data. 

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The Defense Industrial Base (DIB) supply chain is integral to the security and well-being of our country and includes everyone from government agencies to IT contractors providing software, applications and cloud services to those agencies. It seems obvious that the regulations pertaining to these companies and their products would be more stringent than others, and would include more than simple security measures. That’s where RMF plays a major role. 

In this article, we discuss RMF and how it breaks down into actionable steps. Furthermore, we will discuss the importance of risk management for DoD contractors and why you should work with experts in managing your own risk. 

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