April 11, 2024

Now Available: FINRA Compliance Reports

What is FINRA?

To protect investors and ensure the market’s integrity, FINRA (Financial Industry Regulatory Authority) is a not-for-profit organization that oversees U.S. broker-dealers. FINRA is overseen by the SEC (Securities and Exchange Commission).

FINRA compliance regulations are designed to protect PII (personally identifiable information) and ensure financial data security. The requirements ensure financial institutions prevent data loss and theft and protect data integrity. Falling out of compliance with FINRA regulations can result in investigations, fines, suspension, banning, and potentially criminal charges in severe cases.

How Can Blumira Help With FINRA?

By regularly running and scheduling Blumira’s pre-built FINRA compliance reports, you can prove your compliance to an auditor for certain controls.

Which Reports Map to Which FINRA Rules?

See which Blumira reports map to which FINRA rules so you can easily hand over pre-built reports to your auditor to prove your compliance. Please note that each report is available for certain integrations, which are listed under each report below:

FINRA Rules	Blumira’s Global Reports
FINRA 4511 – Log Tampering: Detect modifications or deletions of log data	FINRA Controls Log Tampering - Clearing of Windows Event Log FINRA Controls Log Tampering - Clearing of Windows Security Event Log Available for: Windows
FINRA 4512 – Privileged Access: Track access by administrators and power users	FINRA Controls - Administrator Access Available for: Windows FINRA Controls - Admin/root Access Available for: Linux
FINRA 4512 – VPN Connections: Monitor remote access methods and users	FINRA Controls - VPN Connections Available for: Fortigate, Cisco ASA, WatchGuard, GlobalProtect, SonicWall, Sophos
FINRA 4512 – VPN Connections: Monitor remote access methods and users	FINRA Controls - VPN Connections Available for: Fortigate, Cisco ASA, WatchGuard, GlobalProtect, SonicWall, Sophos
FINRA 4512 – Password Resets: Track password changes for awareness of compromised accounts	FINRA - Password Change Available for: Windows FINRA - Azure Password Change Available for: Azure
FINRA 4512 – System Changes: Record critical configuration and policy changes	FINRA - Windows GPO Updates Available for: Windows FINRA - Azure Policy Changes Available for: Azure FINRA Firewall Configuration Change Available for: Fortigate, CiscoASA, SonicWall, SophosXG
FINRA 4513 – Failed Logins: Identify brute force and other credential attacks	FINRA Controls - Failed Logins Available for: Windows, Linux
FINRA 4513 – Logins by Location: Spot access from unfamiliar regions	FINRA - Logins from Outside the U.S. FINRA - Logins from Outside the U.K. FINRA - Logins from Outside the AUS FINRA - Logins from Outside the CA Available for: Azure, Microsoft 365, Duo Security, Okta
FINRA 4514 – USB Device Usage: Detect unauthorized devices plugged into endpoints	FINRA - USB Device Attached Available for: Windows FINRA Controls - Mounted Device FINRA Controls - USB Device Attached Available for: macOS
FINRA 4514 – Firewall Traffic: Analyze allowed/blocked connections at perimeter	FINRA - Allowed Firewall Traffic FINRA - Blocked Firewall Traffic
FINRA 4517 – IDS/IPS Alerts: Identify potential intrusion attempts and malware	FINRA - IDS/IPS Alerts Available for: SonicWall, PaloAlto, Checkpoint, Sophos XG, Umbrella

How Can I Access the FINRA Reports?

Blumira customers can use global and saved reports to easily access FINRA compliance reports, as well as many other reports to analyze the logged events that you send Blumira.

To view a FINRA global report or one of your saved reports, follow these easy steps:

Navigate to Reporting > Report Builder.Click to open the additional options menu (the three dot menu seen on the right side).
Click Load Saved Report.
Type FINRA into the search box at the top of the Saved Reports screen.
In the Saved Reports window, click the report that you want to use, ensuring that it matches your integrated data source(s).

Get more tips on how to use Blumira’s Report Builder in our documentation article, Using global and saved reports. Watch the video below to learn more about using Report Builder:

Blumira For Compliance: Easy & Effective Security For SMBs

It’s easy to help meet or support multiple compliance controls using Blumira’s SIEM + XDR platform. With our platform backed by a 24/7 security operations team, organizations get 24/7 coverage – there’s no need to hire full-time analysts. See our other posts on NIST compliance reports, ISO reports, and the different compliance frameworks we support.

There’s a few different ways you can get started with Blumira:

Free SIEM – Choose up to 3 cloud integrations, set up in minutes, send logs to Blumira and start seeing security value right away. Our Free SIEM gives you a limited version of our product with 14 days of data retention.
Try SIEM + XDR Free – Sign up for a free 30-day trial of Blumira’s XDR edition up and running to experience the full SIEM, endpoint visibility and automated response platform. You will need to sign up for a free SIEM account, go to the left menu, then click Learn More > Start Free Trial to activate your XDR trial.
See a Demo – Not ready to try Blumira yet? Watch our product demo video or contact our team to walk through a demo of Blumira’s XDR Platform to get all of your questions answered.
Are you an MSP? Check out our MSP Program with NFR licensing for partners.

Tag(s): Compliance Security Frameworks and Insurance , SIEM XDR , Product Updates , Blog , Financial Services

Thu Pham

Thu has over 15 years of experience in the information security and technology industries. Prior to joining Blumira, she held both content and product marketing roles at Duo Security, leading go-to-market (GTM) and messaging for the portfolio solution Cisco Zero Trust. She holds a bachelor of science degree in...