FINRA Compliance Statement

Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization. FINRA is the largest independent regulator for all securities firms doing business in the United States. Their mission is to protect investors by making sure the United States securities industry operates fairly and honestly.


xMatters has performed a self-assessment against FINRA regulations and determined that we are compliant with all relevant cybersecurity guidelines for financial institution suppliers.

 FINRA rules create a framework to check if suppliers for financial institutions have cybersecurity policies and procedures in place, and proof that these vendors can uphold them. With FINRA’s increased focus on cybersecurity, xMatters is willing to take a proactive approach to satisfy regulators and financial institutions as clients.


xMatters FINRA Assessment Report