CellTrust Blog

Find CellTrust in the new FINRA Compliance Vendor Directory

FINRA – The Financial Industry Regulatory Authority, Inc. is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees.

The FINRA Compliance Vendor Directory (CVD) provides firms a convenient, effective way to search for vendors that offer the following compliance-related services: Compliance Consulting, Cybersecurity, Data Management, Email & Social Media Archive, Exam Prep & Firm CE, Insurance Brokers, Monitoring & Surveillance, PCAOB Registered Accountants and Registration services.

CellTrust is pleased to become a FINRA Compliance Vendor Directory Participant and looks forward to continuously expanding its Mobile Communication Compliance offerings to FINRA member organizations.

Our flagship solution CellTrust SL2 is used by firms governed by FINRA both large and small to capture text and voice communications for archiving purposes. CellTrust SL2 helps organizations comply with books and records rules (SEC 17a-3 and 17a-4), the FINRA Communications and Disclosures Rules 2200, and guidance on mobile/SMS/text supervision, and archiving requirements as indicated in FINRA Regulatory Notice 17-18: Social Media and Digital Communications.

To learn more about CellTrust SL2 and how it can support your firm’s mobile communication compliance strategy, you can request a demonstration here or call our team on +1-480-515-5200.

For more information about FINRA, please visit www.finra.org.