Regulatory · Example Payload

Regulatory Compliance Check Finra Example

ComplianceFinancial ServicesGovernanceHealthcare RegulationRegulatory ReportingRisk ManagementRegTech

Regulatory Compliance Check Finra Example is an example object payload from Regulatory, with 10 top-level fields. It illustrates the shape of data this provider's APIs accept or return.

Top-level fields

checkIdentityIdentityNameframeworkjurisdictioncheckDatestatusfindingsscorereportUrl

Example Payload

{
  "checkId": "chk-2026-05-02-FINRA-001",
  "entityId": "broker-dealer-12345",
  "entityName": "Example Securities LLC",
  "framework": "FINRA Rule 4370",
  "jurisdiction": "US",
  "checkDate": "2026-05-02T09:00:00Z",
  "status": "Partial",
  "findings": [
    {
      "findingId": "f-001",
      "controlId": "FINRA-4370-BCP",
      "status": "Pass",
      "evidence": "Business continuity plan reviewed and approved by senior management on 2026-01-15. Plan covers all required scenarios including market disruptions, physical emergencies, and technology failures.",
      "remediationRequired": false,
      "remediationDeadline": null
    },
    {
      "findingId": "f-002",
      "controlId": "FINRA-4370-ANNUAL-TEST",
      "status": "Pass",
      "evidence": "Annual business continuity test completed on 2025-11-20. Test results documented with 98% system recovery rate within required RTO.",
      "remediationRequired": false,
      "remediationDeadline": null
    },
    {
      "findingId": "f-003",
      "controlId": "FINRA-4370-CUSTOMER-NOTICE",
      "status": "Fail",
      "evidence": "Customer notification procedures not updated to reflect new contact information for business continuity coordinator following personnel change in March 2026.",
      "remediationRequired": true,
      "remediationDeadline": "2026-05-30"
    }
  ],
  "score": 78,
  "reportUrl": "https://compliance-platform.example.com/reports/chk-2026-05-02-FINRA-001"
}