310-553-3055
213-463-2100FINRA Compliance Services for Pasadena, Glendale & Burbank
FINRA Compliance Services
Ensuring firms are fully compliant with the Financial Industry Regulatory Authority's (FINRA) stringent rules, mitigating legal and regulatory risks.
If your firm needs to meet the rigorous requirements of the Financial Industry Regulatory Authority (FINRA), you are in the right place. At Netready, we specialize in IT and compliance solutions tailored to broker-dealers, capital acquisition brokers, funding portals and other financial-industry entities in the Los Angeles area. From risk assessments to ongoing monitoring and remediation, we ensure your technology infrastructure, data practices, and security protocols align with FINRA rules - so you can focus on serving clients, not defending investigations.
What is FINRA
& Why Does It Matter
The Financial Industry Regulatory Authority (FINRA) regulates more than 600,000 brokers and manages billions of market events daily, its mission: protect investors and maintain market integrity.
If you are a broker-dealer, funding portal, or securities firm, you are governed by FINRA standards covering licensing, exams, data-retention, cybersecurity, and investigations. Non-compliance can result in fines, suspensions, or being listed on BrokerCheck.
The Compliance Gap We Solve
Growing financial firms often underestimate the technology and data risks tied to their regulatory obligations:
- Are your systems configured to meet FINRA’s cybersecurity and data-integrity expectations?
- Do you have documented processes for monitoring, incident response, and vendor oversight?
- Can you prove your data retention and audit trails meet FINRA’s recordkeeping rules?
Netready’s FINRA Compliance service addresses these gaps, we review your environment, map your risks, and build a sustainable compliance program aligned with your business.
How Netready Helps
Our streamlined approach:
- Discovery & Risk Assessment - We audit your current IT systems, data flows, access controls and vendor relationships using frameworks like the CIS Controls (CIS-20).
- Compliance Roadmap & Implementation - We create a tailored plan to remediate risk areas, configure secure systems, implement logging and monitoring, train personnel, and document controls.
- Ongoing Monitoring & Support - Compliance is not a one-time checkbox. We provide ongoing support, help desk, continuous security and monitoring so your firm stays inspection ready.
- Fixed Monthly Pricing - Transparent costs with predictable budgets - helping you avoid unexpected compliance surprises.
Why Choose Netready
- Local expertise in the Los Angeles, Pasadena, and Burbank region with 25 plus years in IT and security support.
- Financial-industry specialization: we understand the unique demands of broker-dealers, investment firms, and registered representatives.
- Holistic service: combining IT infrastructure, security, compliance, and support under one roof.
- Client-centric support: live helpdesk, proactive threat detection, and responsive remediation.
Is This You
This service is tailored for firms that:
- Are regulated by FINRA or exploring registration or licensing.
- Want to minimize risk of audits, fines, suspensions, or BrokerCheck issues.
- Have multiple vendors and systems with unclear compliance ownership.
- Need technology and data practices aligned with security and regulatory expectations.
If this sounds like your firm, let us help you build a defensible, audit-ready compliance structure.
Fixed Monthly Pricing
We provide your business with predictable monthly IT costs.
Personable Help Desk
Our help desk is answered live, by our personable and experienced team.
25+ Years of Experience
Netready has proudly provided IT Services in Los Angeles for over 25 years.
Why Netready Has The Top
Rated Managed IT Services In Pasadena
PROTECT
Netready keeps your network and your data safe
with proactive IT security service.
DETECT
Netready detects IT problems from outside
threats and internal mistakes before they become a disaster.
RESPOND
Our 24x7 IT help desk responds to you and
provides IT support whenever you need it.
Ready to Get Inspection-Ready
Contact us today at 213-463-2100 or fill out our online form to schedule
a no-obligation consultation to review your FINRA compliance needs.
Get Help Now!
213-463-2100
FAQs On FINRA
What does FINRA expect from my firm’s cybersecurity and IT controls?
FINRA requires broker-dealers to implement strong cybersecurity controls, including secure access management, multi factor authentication, data loss prevention tools, vendor oversight, logging, monitoring, and incident response procedures. Your firm must also maintain evidence of these controls - policies, logging reports, configuration data, vendor contracts, and documented supervision. Netready helps firms establish, implement, and document cybersecurity and IT controls so you stay aligned with FINRA’s evolving cybersecurity expectations.
How often does FINRA conduct exams and what triggers an audit?
FINRA conducts routine cycle exams every one to four years based on your firm’s risk rating. However, firms may also face targeted exams triggered by red flags such as customer complaints, cybersecurity incidents, suspicious system activity, vendor-related breaches, or inconsistencies in regulatory filings. Many firms partner with Netready to ensure their IT systems, documentation, records, and cybersecurity controls are exam-ready well before FINRA announces an audit.
What are the most common FINRA compliance failures related to technology?
FINRA’s exam reports consistently cite failures including weak password policies, lack of multi factor authentication, insufficient logging and monitoring, missing cybersecurity documentation, poor vendor oversight, and improperly configured data retention systems. Email, cloud storage, and CRM platforms are especially prone to recordkeeping failures. Netready helps firms close these gaps through secure configuration, documentation, monitoring, and audit-readiness support.
How can an MSP help me stay compliant with FINRA rules?
A specialized Managed Service Provider like Netready provides the technology governance, monitoring, documentation, and cybersecurity controls FINRA expects. This includes securing your systems, enforcing processes, maintaining audit trails, training employees, supervising vendors, and responding to compliance issues before they escalate. Netready acts as your compliance aligned IT department, ensuring you stay secure and inspection-ready throughout the year.
Does FINRA require data retention and electronic records to follow specific rules?
Yes. FINRA and the SEC require specific retention controls under Rule 17a-4, which mandates WORM storage, immutability, proper indexing, audit trails, and retention periods. One of the most common FINRA exam findings is improperly configured cloud platforms (such as Microsoft 365 or Google Workspace) that fail to meet retention and immutability requirements. Netready ensures email, file storage, messaging, CRM systems, and communication platforms meet these regulatory standards.
How much does FINRA compliance support cost for a broker dealer or financial firm?
Costs vary depending on firm size, user count, system complexity, and whether you need one-time remediation or ongoing support. Most small and mid-sized broker-dealers choose fixed monthly pricing that includes cybersecurity, IT support, monitoring, and compliance documentation. Netready provides transparent pricing with tailored solutions to ensure the right level of oversight.
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