SEC and FINRA vendor oversight hub
Vendor oversight for the SEC rules that shape investment advisers.
ThirdNexa helps firms organize vendor due diligence, contracts, documents, incidents, findings, deadlines, decisions, and examination evidence under SEC and FINRA expectations.
Educational information only. ThirdNexa does not determine which laws apply or provide legal or regulatory advice.
A fragmented oversight landscape
One vendor can touch several obligations at once.
An RIA may need to consider Regulation S-P, Regulation S-ID, its compliance program and books-and-records rules, the Marketing Rule, and—for dual registrants—FINRA vendor guidance. ThirdNexa gives the firm one place to perform and document its work without asking the software to make the legal conclusion.
SEC rules
- Regulation S-P
Service provider oversight, an incident response program, and customer notification when sensitive customer information is compromised.
- Regulation S-ID
A written identity theft program that identifies, detects, and responds to red flags, including oversight of service providers that perform covered activities.
- Rule 206(4)-7
Written compliance policies and procedures, reviewed at least annually, including those that cover service providers the adviser relies on.
- Rule 204-2
Required books and records kept for five years, the first two in an easily accessible place, including records held by third parties.
- Marketing Rule
Due diligence on third-party ratings, oversight of promoters, and review of marketing vendors that prepare or distribute advertisements.
FINRA
- FINRA vendor guidance
Broker-dealers remain responsible for outsourced functions and should supervise vendors through due diligence and ongoing monitoring (Regulatory Notice 21-29).
Supporting reference
- NIST CSF 2.0
A widely used reference for organizing cybersecurity practices, including supply-chain risk management. Supporting reference only, not a regulatory requirement.
What ThirdNexa does today
Make the firm’s process visible and reproducible.
ThirdNexa supports the operating record behind third-party risk management. It does not automatically label a vendor compliant, monitor external threat feeds, or decide that a regulation applies.
Centralized vendor registry
Services, owners, criticality, data and systems access, contacts, status, and review dates.
Structured due diligence
Questionnaires, evidence, review records, findings, remediation, recommendations, and firm decisions.
Contract and document tracking
Agreement terms, notice windows, renewal dates, expiring evidence, and Reg S-P notice-clause records.
Incident documentation
Occurred, discovered, notified, and resolved dates; customer-information involvement; response and renewal impact.
Audit-ready evidence
PDF and CSV evidence packs plus an activity history showing who recorded and reviewed the work.
Interactive review
Find potential regulatory requirements.
Use this short review to build a starting list for discussion with your compliance and legal advisers. It does not replace an applicability analysis.
Your review list will appear here.
Choose your firm type. The result is an educational starting point, not a legal determination.
Framework deep dives
Expectation, record, evidence.
Financial-services regulatory checklist
Use the downloadable checklist to review governance, inventory, risk classification, due diligence, contracts, incident readiness, monitoring, findings, evidence retention, and examiner preparation.
Download PDF checklistBring your framework to the demo.
We’ll show how the current ThirdNexa workflow can support the vendor records, review steps, deadlines, and evidence your team is responsible for maintaining.
Schedule a compliance demoYour firm retains the judgment.
This page is educational and may not reflect every requirement, exception, threshold, or update. Confirm applicability and interpretation with qualified legal and compliance professionals. ThirdNexa organizes workflow and records; it does not provide legal advice or certify compliance.