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FINRA Compliance Services

FINRA IT Compliance

Okay—you’re ready to outsource your information technology management and maintenance to 911 IT. Our services include every tech task you have imagined and many you haven’t. We monitor and maintain your network, servers, and hardware. We furnish all the technical support your firm requires. We’re a cost-effective solution when you don’t have the resources or expertise to manage your own IT infrastructure in-house.

It is necessary to ensure your IT systems are compliant with FINRA regulations. As a self-regulatory organization that oversees the conduct of firms and brokers in the securities industry, FINRA protects investors, and your business by ensuring everyone adheres to these regulations designed to prevent fraud and abuse. This includes having adequate controls in place to protect sensitive customer information, as well as maintaining accurate records of all financial transactions. You know that non-compliance with FINRA regulations results in significant fines and other penalties. It is our commitment to keep your tech and systems penalty-free.

911 IT qualifies your firm’s FINRA compliance requirements by implementing and maintaining appropriate controls and monitoring systems. This will include implementing measures such as security protocols to prevent unauthorized access to sensitive data, as well as backup and disaster recovery systems to ensure that financial records are not lost in the event of a system failure.

Shifting From Compliance to Culture

Beyond implementing technical controls, 911 IT assists with the development of policies and procedures to ensure compliance with FINRA regulations. This may include training your organization on proper security practices and furnishing guidance on how to handle sensitive customer information.


Benefits Of FINRA Compliance

911 IT is an invaluable resource for firms in the securities industry looking to ensure compliance with FINRA. By outsourcing the management and maintenance of your IT systems to 911 IT, your firm can focus on core business operations while meeting the necessary regulatory requirements with confidence.

Check out our FINRA IT Compliance Checklist

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Testimonials
They Provide Peace of Mind!!

We love that 911 IT provides IT, phone, and hosting services. I didn't realize how interconnected those services were and what a pain it was to try and work with three different providers before we started working with 911 IT. Only working with one company that knows all about our company and the way we are setup has been a great asset to our company. With all that 911 IT provides, one of the biggest things they provide is peace of mind. That is worth A LOT to a business owner.

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Christian Thompson Franchise Business Law Group

911 IT Goes Out of Their Way to Make Things Simple!

The best thing about using 911 IT is the convenience of being able to send a message and have online or onsite support almost immediately. If I have any IT issue, I knowit will be taken care of quickly. 911 IT goes out of their way to make anything we need very simple. They go above and beyond, even if it is a small project. I have worked with a lot of IT companies, and 911 IT has been by far my favorite company to work with. Having them is the equivalent of having a full time IT guy available in my office. Give 911 IT a call, they are the best!

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Jason Payne Intellibed

I Wouldn't Consider Taking My Computer Business Anywhere Else!

I could write a short novel to describe the work that 911 IT has done for me. The work is impeccable, and I think it's fair to say that they won't quit until you're happy and have exactly what you want. I recommend them highly as they are reliable, fairly priced, and some of the hardest working nicest people I know. If you have computer problems, either great or small....do not hesitate to call them. You'll be glad you did.

- Robert Davis

Give Them a Try!

I've had the pleasure of working with 911 IT on a few different occasions. They have done work for both my personal computer and business networks. They are very knowledgeable, honest, and incredibly competitive in pricing. I would recommend anyone looking for computer work done to give them a try. I look forward to continued use of your services in the future.

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Shayne Hiatt Clean and Clear

911 IT is Amazing!

911 IT is amazing. Technology is such a cursed blessing. It is wonderful when everything is working as intended...but quickly turns to the end of the world when it's not. These guy know what they're doing.

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Nathan Bryant

911 IT Always Exceeds My Expectations!

We have worked with 911 IT for many years, and I can tell you they are not just another IT company. They care about us and are always looking out for our best interests. They are proactive and always looking towards the future to solve potential problems. Before quarantine, 911 IT reached out to us to develop a plan to be able to move all of our employees home if the need arose. It's things like this that really set them apart.

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Dianna Iwaniec Preferred Accounting

911 IT is the best in town!

911 IT is the best in town! They know their stuff and are fairly priced! I love how they can do repairs remotely too!

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Marilee Guinan

I Would Recommend Them to Anyone!

911 IT has been able to cut our IT expenditures by almost half and at the same time improve our systems reliability. Since moving to their IT Firm we have noticed that they are more knowledgeable than the other companies we have used in the past. When I call in, I do not have to worry about them getting things fixed because they are reliable, fast and they get things done. I would recommend them to anyone that is thinking about changing IT companies. We made the change and are glad we did.

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James Adair Western Timber Frame

I Don't Know What I Would Do Without Their Help!

Great service...helped me out on many computer issues! Don't know what I would do without their help.

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Jon Jones Villas in Vallarta

Give 911 IT a Shot! It is Worth It!

We have loved the peace of mind using 911 IT has given us. They are great at answering their phone and solving our problems quickly. I have worked for the past year or so with Calvin and his crew. I really like how quickly they respond to my questions and concerns. We are upgrading our machines with them now. They help us with backup services and with virus protection. Give 911 IT a shot! It is worth it!

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Jaren Ruff Designer Floor Coverings

Schedule an Appointment with 911 IT Today!

Let’s discuss how we can help you with your IT support and consulting needs. Reach out to us with the form below and we’ll contact you to discuss your organization’s specific IT needs.

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