End Point Security

Strengthening organizations against cyber threats with
advanced endpoint security measures.

Compromise Assessment

Comprehensive compromise assessments for proactive
detection and mitigation of security breaches.

Identity And Access Management

Enabling secure user access and data protection through
Identity and Access Management consulting.

Secure Infrastructure Deployment

Empowering organizations with secure infrastructure
design and deployment for robust data integrity.

Ransomware Readiness

Assessing and fortifying ransomware readiness to
minimize threats and enhance recovery strategies.

Purple Team Assessment

Fostering collaborative cybersecurity excellence
through defensive strategies and vulnerability identification.

Enterprise Incident Response

Minimizing damage and ensuring swift recovery with
strategic incident response consulting for enterprises.

Disaster Recovery as a service

Ensuring uninterrupted operations through proactive
disaster recovery consulting for businesses.

Data Migration

Seamless and secure data migration consulting for
efficient transitions with minimal disruption.

Data Recovery

Expert data recovery consulting for swift retrieval of
valuable information and minimal business disruption.

SOC Maturity Assessment

Enhancing cybersecurity readiness through comprehensive
SOC assessment consulting.

Digital Forensics Investigation

We specialize in uncovering, preserving, and securing digital evidence for aiding in cybercrime resolution.

IT Risk Management

Thorough IT Risk Management Assessment
for Nurturing Business Resilience

CCSS Compliance Audit

Assure regulatory alignment, fostering
market legitimacy and investor trust

ISO 22301 Compliance Audit

Advancing the Contemporary Business
Continuity Management process

ISO 27001 Compliance Auditing

Nurturing Maturity Across People,
Processes, and Technology

Cloud Adoption Framework

IT offers a structured plan for organizations to efficiently manage their cloud migration and usage strategies.

GDPR Compliance Audit

Ensures data privacy compliance, mitigates
risks, and enhance customer trust

PCI DSS Compliance Audit

Strengthen payment security, safeguarding
sensitive data & fosters customer confidence

HIPPA Compliance Consulting

Protect the security of healthcare information,
legal compliance, and fosters patient trust.

HITRUST Compliance Consulting

Improve healthcare cybersecurity, streamlines
risk management & boosts credibility

Virtual Data Protection Officer

Remote professional who provides expertise in data protection and compliance.

FINRA Compliance

Reinforces the integrity of financial services,
compliance & nurtures trust among investors.

Fair Risk Assessment

Quantify decision-making with FAIR framework
to assess and manage information risks.

CCPA Compliance Audit

Ensure transparent data handling, respects
consumer rights, and fortify data-driven trust

SOC2 Compliance Audit & Report

Validates operational quality, builds customer
trust & demonstrates dedication to data security

ISO 27701 Compliance Audit

Assesses an organization's adherence to the privacy information management standard.

Industries WeServe

Secure Source Code Review

We identify source code vulnerabilities, ensuring strong defense against critical attacks.

Spear Phishing Simulations

We check the awareness of the people
towards enterprise cyber security policies

Infrastructure Pentesting

Maturing organizational resilience by evaluating the security posture of IT infrastructure.

Mobile Application Pentesting

Strengthens mobile app security by addressing vulnerabilities and ensuring robust protection .

DevSecOps Solutions

Strengthening software development through security-focused testing in DevSecOps.

IOT Security Assessment

Strengthens IoT systems by vulnerability analysis & ensuring defense with hardcore pentesting

Red Team Operations Services

Simulating real-world APT attacks to evaluate an organization's security readiness .

Cloud Pentesting And Security

Ensuring the robustness of cloud infrastructure by pentesting and defending the cloud .

Web Application Pentesting

Detecting issues across various programming languages, frontend & backend environments

Blockchain Penetration Testing

Evaluating blockchain security via vulnerability testing to prevent potential breaches.

Web API Pentesting

Validate API design ,configuration and implementation according to security policies.

ICS SCADA Pentesting

We safeguards industrial control systems by identifying and fixing vulnerabilities 

Security Configuration Review

In-depth inspection of enterprise devices or applications to identify configuration weaknesses .

Thick client Security Assessment

Conducting security assessment of local and server-side processing and communication protocols

Web3 Penetration Testing

Securing Web3 by probing and addressing vulnerabilities in decentralized apps and protocols.

corporate services

FINRA Compliance Consulting Services

Intelligence Driven Cyber Security Operations


The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization responsible for overseeing transactions and trading practices in the US financial markets. It supervises a vast number of brokers and daily transactions to protect the integrity of financial markets and ensure fair trading for investors. FINRA also offers extensive support to stakeholders, including investors, policymakers, and market regulators.

FINRA, overseen by the Securities and Exchange Commission (SEC), promotes fairness and integrity in financial markets through various means, such as providing investor protections, enforcing regulations, setting standards for securities, and enhancing investor education.

Compliance with FINRA regulations is mandatory for organizations operating in the financial industry or engaging in securities trading on the New York Stock Exchange. To meet FINRA compliance requirements, organizations must address four main compliance concerns, including firm operations, transparent communications and sales, integrity in financial transactions, and secure management of financial assets.

There are three types of entities required to comply with FINRA:

  1. Broker-dealer firms, which conduct securities transactions on behalf of investors.
  2. Capital acquisition brokers, offering limited securities-related financial services to companies or private equity funds.
  3. Funding portals, certified by the SEC as crowdfunding service providers.

At Certcube, we specialize in guiding financial professionals through FINRA/SEC regulations and standards to mitigate cyber security risks. Our advisors help establish policies and procedures, ensuring the implementation of cybersecurity best practices to safeguard customer data from potential breaches.

Certcube assists in reviewing your organization’s approach to various aspects, including technology governance, system change management, risk assessments, technical controls, incident response, vendor management, data loss prevention, staff training, FINRA compliance, and SEC data security

    Our approach to FINRA COMPLIANCE AUDIT

    Pre-Audit Preparation
    Pre-Audit Preparation

    Pre-Audit Preparation

    The audit process begins with the auditor conducting a pre-audit preparation phase. During this phase, the auditor will review the firm’s public disclosures, regulatory filings, compliance policies and procedures, and other relevant documents.
    Audit Planning
    Audit Planning

    On-Site Fieldwork

    The auditor will create an audit plan that defines the scope, objectives, and procedures for the compliance audit. This plan will identify the areas under review, including sales practices, supervision, record keeping, and advertising. Subsequently, the auditor will conduct on-site fieldwork at the brokerage firm’s location. During this phase, they will interview key personnel, examine records, observe operations, and assess compliance with FINRA rules and regulations.
    Documentation Review
    Documentation Review

    Documentation Review

    The auditor will examine the firm’s compliance policies, procedures, and documentation to ensure they are comprehensive, up-to-date, and in line with regulatory requirements.
    Transaction Testing
    Transaction Testing

    Transaction Testing

    The auditor will select a sample of customer transactions to test for compliance with relevant rules, such as suitability requirements and best execution.
    Risk Assessment
    Risk Assessment

    Risk Assessment

    The auditor will assess the firm’s risk management practices and determine whether the firm has identified and mitigated potential compliance risks.

    Supervisory Review
    Supervisory Review

    Supervisory Review

    The auditor will evaluate the firm’s supervisory procedures and controls to ensure that they are effective in detecting and preventing violations of FINRA rules.
    Risk Treatment
    Risk Treatment

    Risk Treatment

    Our Consultants classify identified risks and assist you in strategizing appropriate Risk Treatment measures.
    Report Preparation
    Report Preparation

    Report Preparation

    After completing the fieldwork and reviewing all relevant information, the auditor will prepare an audit report. The report will include findings, recommendations, and any identified areas of non-compliance.
    Follow-up and Monitoring
    Follow-up and Monitoring

    Follow-up and Monitoring

    The auditor may conduct follow-up reviews to ensure that the firm has implemented the recommended corrective actions.

    Our FINRA ComplianceServices

    Benefits to Being FINRA Compliant

    By being FINRA compliant, you can benefit from:

    • Enhanced data security by implementing
    • FINRA cybersecurity controls
    • Higher confidence in the integrity of your securities transactions
    • Full licensing and designation as a broker or securities firm
    • FINRA-provided resources for training and supporting your staff

    Compliance with FINRA regulations will also help you avoid potential violations of securities trading and related financial practices—and possible consequences they could entail.

    Consequences of Being Non-Compliant With FINRA

    Non-compliance with FINRA may result in a securities violation and potential disciplinary action.

    If your organization is found to be non-compliant with FINRA regulations, you may undergo disciplinary action in the form of:

    • A settlement through which you can resolve the alleged violation by completing and submitting the necessary documentation stipulated by FINRA
    • An appearance at an official hearing if you do not settle the complaint

    FINRA violations may also result in fines, suspension from securities trading, and exclusion from participating in the financial services industry (for the most significant violations).

    How Do You Become FINRA Compliant?

    Depending on the financial services you provide, you become FINRA compliant by meeting slightly different FINRA compliance requirements. FINRA provides a range of compliance tools such as checklists and templates to help organizations in the financial industry comply.

    However, it is always best to consult with FINRA compliance consultants, who can advise on best practices for achieving and maintaining seamless, long-term FINRA compliance.

    Frequently Asked Questions

    How does Certcube Labs assist financial institutions in ensuring compliance with FINRA regulations, particularly in the context of complex trading and brokerage operations that involve multiple regulatory requirements?
    Certcube Labs offers specialized expertise in navigating the complex regulatory landscape of financial markets. We assist financial institutions in aligning their trading and brokerage operations with FINRA regulations, addressing intricate compliance challenges.

    In the context of FINRA Compliance, how does Certcube Labs assist in implementing advanced data retention and archiving solutions for financial firms, considering the vast volumes of transaction data and the need for efficient retrieval and audit capabilities?
    We work with financial firms to implement advanced data retention and archiving solutions, utilizing distributed storage and indexing technologies to efficiently handle vast volumes of transaction data. Our solutions ensure rapid data retrieval and audit trail capabilities.
    Can you explain Certcube Labs' approach to assisting broker-dealers and financial institutions in implementing cybersecurity measures that align with FINRA's cybersecurity guidelines and requirements, particularly in the face of advanced cyber threats and attacks?
    We provide comprehensive cybersecurity assessments and solutions, including advanced threat intelligence, penetration testing, and security architecture reviews, to ensure that broker-dealers and financial institutions meet FINRA’s stringent cybersecurity requirements and protect sensitive financial data.
    Can you provide insights into the technical and procedural aspects of Certcube Labs' approach to monitoring electronic communications, including email and messaging platforms, to comply with FINRA's communication supervision requirements?
    Certcube Labs employs advanced monitoring and surveillance tools, including natural language processing and machine learning algorithms, to analyze electronic communications for compliance with FINRA rules. Our approach includes automated flagging of potential violations and in-depth analysis of communication patterns.
    How does Certcube Labs address the challenge of trade surveillance in high-frequency trading (HFT) environments, where real-time monitoring and anomaly detection are crucial for compliance with FINRA regulations?
    We employ cutting-edge algorithms and real-time monitoring systems to address trade surveillance in HFT environments. Our solutions include anomaly detection, pattern recognition, and risk assessment to meet FINRA compliance requirements in real time.
    Can you provide examples of scenarios where Certcube Labs' advanced analytics and compliance solutions have helped financial firms proactively identify and mitigate potential compliance risks, thereby enhancing their overall compliance posture?
    Certcube Labs’ solutions have enabled financial firms to proactively identify insider trading, market manipulation, and other compliance risks through advanced analytics and pattern recognition, resulting in timely risk mitigation and improved compliance.