FINRA-Compliant Communication Vendors
Communication vendors are evaluated against FINRA when they handle the workflows this framework governs. Currently, 2 vendors in our Communication category hold FINRA certification and 1 holds it partially or conditionally. Each listing below links to the vendor's full compliance profile.
Communication vendors that hold FINRA certification
Microsoft Teams
21/32Chat, meetings, and collaboration app, part of the Microsoft 365 compliance program.
SEC 17a-4, FINRA 4511 documented
Slack
18/32Team messaging and channel-based chat platform for workplace communication.
Enterprise configuration
RingCentral
10/32Cloud communications platform for phone, messaging, video, and contact center.
FINRA CSR add-on to SOC 2+ report
These communication vendors do not currently hold FINRA certification:
- Twilio (not documented)
- SendGrid (not documented)
- Zoom (not documented)
- Cisco Webex (not documented)
- 8x8 (not documented)
- Vonage (not documented)
- Dialpad (not documented)
- Grasshopper (not documented)
- GoTo Meeting (not documented)
- Discord (not documented)
- Wire (not documented)
- Loom (not documented)
- Whereby (not documented)
- BlueJeans (not documented)
- Resend (not documented)
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