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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 are Part of Our Team!

When hiring 911 IT, we didn't realize it would be like having a inhouse IT department without the overhead cost that comes with an inhouse department. They are part of our team. They want us to succeed and they have our best interest in mind. Our problems are resolved quickly, as they want us to be successful and they work to make sure our goals are a priority to them as well. It's such a simple concept, but as a business owner it means a lot. 911 IT is honest and their skills are top notch. Give them a try today! I don't see any reason why you shouldn't!

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Wayne Carlson M-Vac Systems

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

Thanks to All the People at 911 IT!

I was having a problem with my computer being really slow I had 911 work on it and now it works very well. The experience was very good thanks to all the people at 911 IT.

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Chris Powell Powell Garage Door

We Couldn't Be Happier!

911 IT got all of our pictures and data off of a damaged hard drive that we thought was toast. We were actually told by another company it was too damaged to recover. But not for 911 IT! They w ere so great to work with and seriously saved the day! We couldn't be happier.

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Julie Bigler

911 IT Has Been a Godsend to Our Company!

911 IT has been a godsend to our company, especially to me. They are always available and can take care of any need we have right away. I never panic anymore when something isn't working right, I just call anyone on the team, and they pleasantly take over, and the problem is gone. Anyone there can handle all our issues. Thank you 911.

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Rhonda Sutherland Craghead Building

911 IT Deserves 10 Stars!

I spent hours via computer and long distance with Mr. Adam from 911 IT in Utah. He was a gentleman and a scholar and resolved a host of problems that were caused by another company! He deserves 10 stars!

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Bob Sheddan

Would Highly Recommend to Anyone!

Great company! Always prompt to fix our problems right when they happen and very efficient and knowledgeable. Would highly recommend to anyone!

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Craig Soderquist Insurance Agent

911 IT Really Knows What They are Doing!

911 IT really knows what they are doing! I've had Andrew Shelton help me and my office with many computers and tech needs we have had. I wanted to create a more efficient way to communicate with clients and respond to rental inquiries and Andrew's knowledge help me quickly streamline that process saving me time and allowing me to focus on tasks that will produce more profit.

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Brad Harper

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

Thanks 911IT!

Excellent work. My computer is now protected. If anyone steals my computer, the important info will be useless to them. Thanks 911.

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David Ellis

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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