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Security report for finra.org

Financial Industry Regulatory Authority, Inc. · Finance · United States

High risk. 15 critical or high findings in Network security, Security headers and 1 other check.

Security score

49/100

Risk levelHigh

0–100, higher is better. How it is calculated

FINRA.org is the official website of the Financial Industry Regulatory Authority, a private, not-for-profit self-regulatory organization responsible for overseeing brokerage firms and securities industry participants in the United States. The website serves multiple audiences including investors, industry professionals, member firms, and case participants by providing regulatory information, compliance tools, exams, dispute resolution services, and data access. The site is professionally designed with clear navigation, multiple login portals, and comprehensive content that supports its mission of investor protection and market integrity. Technically, the site is built on Drupal 10 with modern JavaScript libraries and integrates various analytics and marketing tools, ensuring a robust digital presence. Security posture is strong with HTTPS enforced and cookie consent mechanisms in place, although explicit security headers could be further verified. The absence of WHOIS registrant data is likely due to privacy protection, which is justified for this type of organization. Overall, the website reflects a mature, trustworthy, and authoritative entity in the financial regulatory sector.

Scanned

NIS2 and GDPR posture

GDPR outside view
83/ 100 · Low
Checks completed
7of 7

NIS2 Art. 21(2)

  1. (a) Risk analysis and security policies: Not visible from outside
  2. (b) Incident handling: One indicator
  3. (c) Business continuity, backups and crisis management: Not visible from outside
  4. (d) Supply chain security: Not visible from outside
  5. (e) Secure acquisition, development and maintenance, including vulnerability handling: Partly checked
  6. (f) Assessing the effectiveness of security measures: Not visible from outside
  7. (g) Cyber hygiene and security training: Not visible from outside
  8. (h) Cryptography and encryption: Partly checked
  9. (i) HR security, access control and asset management: One indicator
  10. (j) Multi-factor authentication and secured communications: Not visible from outside

This scan rated NIS2 with an earlier keyword method that is no longer shown; rescan for the per-article view. Risk management, continuity, supply chain, training, MFA, management oversight (Art. 20) and incident reporting (Art. 23) need internal evidence, and Guard cannot tell whether NIS2 applies to this organisation.

GDPR is indicative only, based on publicly visible signals: Articles 7, 12, 13 and 32 of Regulation (EU) 2016/679 and Article 5(3) of the ePrivacy Directive. Not a certification or legal assessment.

Priority findings

15 findings rated critical or high. Fix these first.

  1. Network security

    Services reachable from the internet are the first thing attackers probe. Anything open that does not need to be should be closed.

    • Critical

      Critical Service Exposed: Telnet

      Port 23 (Telnet) is publicly accessible - Telnet - Unencrypted remote access

      What to do: Immediately restrict access to Telnet using firewall or VPN

      • NIS2 21(2)(e)
      • IR 2024/2690 6.7.2(f): Implementing Regulation (EU) 2024/2690, Annex point 6.7.2(f): Network security
      • NIST CM-7: NIST SP 800-53 Rev. 5 CM-7: Least Functionality
      • NIST SC-7: NIST SP 800-53 Rev. 5 SC-7: Boundary Protection
    • Critical

      Critical Service Exposed: SMB

      Port 445 (SMB) is publicly accessible - SMB - Windows file sharing, high risk

      What to do: Immediately restrict access to SMB using firewall or VPN

      • NIS2 21(2)(e)
      • IR 2024/2690 6.7.2(f): Implementing Regulation (EU) 2024/2690, Annex point 6.7.2(f): Network security
      • NIST CM-7: NIST SP 800-53 Rev. 5 CM-7: Least Functionality
      • NIST SC-7: NIST SP 800-53 Rev. 5 SC-7: Boundary Protection
    • Critical

      Critical Service Exposed: MSSQL

      Port 1433 (MSSQL) is publicly accessible - MSSQL - Database server

      What to do: Immediately restrict access to MSSQL using firewall or VPN

      • NIS2 21(2)(e)
      • IR 2024/2690 6.7.2(f): Implementing Regulation (EU) 2024/2690, Annex point 6.7.2(f): Network security
      • NIST CM-7: NIST SP 800-53 Rev. 5 CM-7: Least Functionality
      • NIST SC-7: NIST SP 800-53 Rev. 5 SC-7: Boundary Protection
    • Critical

      Critical Service Exposed: Oracle

      Port 1521 (Oracle) is publicly accessible - Oracle - Database server

      What to do: Immediately restrict access to Oracle using firewall or VPN

      • NIS2 21(2)(e)
      • IR 2024/2690 6.7.2(f): Implementing Regulation (EU) 2024/2690, Annex point 6.7.2(f): Network security
      • NIST CM-7: NIST SP 800-53 Rev. 5 CM-7: Least Functionality
      • NIST SC-7: NIST SP 800-53 Rev. 5 SC-7: Boundary Protection
    • Critical

      Critical Service Exposed: MySQL

      Port 3306 (MySQL) is publicly accessible - MySQL - Database server

      What to do: Immediately restrict access to MySQL using firewall or VPN

      • NIS2 21(2)(e)
      • IR 2024/2690 6.7.2(f): Implementing Regulation (EU) 2024/2690, Annex point 6.7.2(f): Network security
      • NIST CM-7: NIST SP 800-53 Rev. 5 CM-7: Least Functionality
      • NIST SC-7: NIST SP 800-53 Rev. 5 SC-7: Boundary Protection

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  • TLS certificates and expiry
  • DNS records
  • SPF, DKIM and DMARC
  • Security headers
  • GDPR and NIS2 posture
  • Exposed services
  • Third-party trackers
  • Security score drift

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Results by check

Each check with its score, findings and the evidence it collected.

How this score is calculated

The security score runs 0–100, higher is better. It is the plain average of the security checks that completed in this scan, each counted equally. A check that could not run is left out: it counts neither as a pass nor as a fail.

Counted in this score

SSL/TLS
75
Security headers
65
Email security
70
DNS health
80
Network security
0
GDPR outside view
83
Average
62
After the cap
49

Not counted

  • NIS2 outside view: Re-weights evidence from the TLS, email, DNS, network and hygiene checks, so counting it would count that evidence twice. Shown on its own.
  • OffSeq Observations: An AI reading of the site, useful context but not reproducible evidence. Shown on its own.

Findings that cap the score at 49

Each of these is serious on its own, so while any is present the site cannot rate better than high risk, however good the other checks are.

  • The certificate is not trusted by browsers
  • The website is not served over HTTPS
  • A database, remote desktop, file-sharing or Telnet service is reachable from the internet · found on this site
  • The page loads a script from a compromised source
  • The domain registration has expired
  • SPF authorises every server to send mail as the domain

Partial scans

When the site blocks Guard or most checks cannot run, the score covers only the checks that ran (usually DNS and email), is capped at 75 and is shown as partial, without a risk level.

Risk levels

  • Critical0–25
  • High26–49
  • Medium50–75
  • Low76–100

Technical appendix

Business context, site observations and technical notes gathered during the scan, and the standards behind each reference.

Business context

Business profile

FINRA operates as a critical self-regulatory organization in the US financial sector, providing oversight and compliance services to brokerage firms and registered representatives. Its business model revolves around regulatory supervision, education, dispute resolution, and data services. The website's extensive content and tools indicate a large enterprise with a broad target audience including investors and industry professionals. The organization's market position is strong, supported by its federal mandate and long history. The presence of multiple specialized portals and comprehensive resources suggests a well-established operational infrastructure. The company maintains active engagement through social media and regularly publishes reports and updates, indicating a commitment to transparency and stakeholder communication.

Security posture

The website demonstrates a solid security posture with mandatory HTTPS usage and implementation of cookie consent mechanisms aligned with privacy regulations such as GDPR. The use of third-party analytics and marketing scripts is managed with consent, reducing privacy risks. No exposed sensitive data or vulnerabilities were detected in the HTML content. However, explicit security headers like X-Frame-Options and X-Content-Type-Options were not explicitly found and should be confirmed. The lack of a publicly visible incident response or vulnerability disclosure policy is a minor gap. Overall, the site aligns well with best practices for a regulatory organization's public-facing platform, balancing usability and security.

Recommendations

  1. Verify and explicitly implement security headers such as X-Frame-Options and X-Content-Type-Options to enhance protection against clickjacking and MIME sniffing.
  2. Publish a clear incident response and vulnerability disclosure policy to improve transparency and security readiness.
  3. Regularly audit third-party scripts and tracking tools to ensure they do not introduce vulnerabilities or privacy risks.
  4. Enhance accessibility features and conduct periodic audits to maintain compliance with accessibility standards.
  5. Consider providing more detailed WHOIS information or a verified domain registration statement to improve trust signals.
Site observations

Automated reading of the public site. Ratings are indicative.

Business

Company
Financial Industry Regulatory Authority, Inc.
Description
FINRA is a private, not-for-profit membership organization responsible under federal law for supervising member brokerage firms in the United States. It promotes investor protection and market integrity.
Key services
BrokerCheck, Registration and Exams, Disciplinary Actions, Compliance Tools, Dispute Resolution, Data Services
Content quality
excellent
Branding
consistent

Technology

Stack
Drupal 10, jQuery, FontAwesome, Google Tag Manager, Facebook Pixel, LinkedIn Insight Tag, Twitter Universal Website Tag, Google Analytics, Abtasty, AddToAny
Frameworks
Drupal
Performance
moderate
Mobile
good
Accessibility
good
SEO
good

Security

Observed score
90/100
Good practices seen
  • HTTPS enforced
  • Cookie consent mechanism implemented
  • No exposed sensitive data in HTML
  • Use of security-related scripts (e.g., cookie consent SDK)

Analytics and tracking

Services
Google Analytics, Facebook Pixel, LinkedIn Insight Tag, Twitter Universal Website Tag
Tracking level
extensive
Privacy practices
good

Advertising

Ad networks
Abtasty
Tracking pixels
Facebook Pixel, LinkedIn Insight Tag, Twitter Universal Website Tag
Marketing tools
AddToAny
Transparency
good

Site quality

Design
excellent
User experience
excellent
Content relevance
excellent
Navigation
excellent
Professionalism
excellent
Trustworthiness
high

Key observations

  1. Website is fully accessible with no blocking or WAF challenges.
  2. Content is comprehensive and professionally presented.
  3. Strong presence of privacy and cookie policies with consent mechanisms.
  4. Multiple login portals for different user groups indicating complex service offerings.
  5. Use of modern web technologies and analytics tools.
  6. Clear contact information with phone numbers and links to contact pages.
  7. Social media presence on major platforms with official accounts.
  8. No signs of suspicious or malicious content.
  9. WHOIS data unavailable, likely due to privacy protection.
Technical notes

Notes

The website is built on Drupal 10 CMS, leveraging a modern tech stack including jQuery, FontAwesome, and various analytics and marketing tools such as Google Tag Manager, Facebook Pixel, LinkedIn Insight Tag, and Twitter Universal Website Tag. The site uses asynchronous loading for performance optimization and includes cookie consent SDKs for privacy compliance. The design is responsive and optimized for mobile devices, with good SEO practices evident from meta tags and structured navigation. Performance is moderate, likely influenced by multiple third-party scripts. The site architecture supports multiple user groups with dedicated login portals, indicating a complex backend infrastructure. Overall, the technical implementation is robust and aligns with enterprise-grade web standards.
Standards and sources

Reference chips under each finding point to the standard, regulation or specification the finding relates to. They are taken from the official datasets below and mapped conservatively: a finding with no defensible link shows none. NIS2 and GDPR references mark where a finding is relevant evidence, not a compliance verdict. Implementing Regulation (EU) 2024/2690 binds digital infrastructure and digital service providers; for other entities it is the most detailed public reading of the Article 21 measures. WCAG, EN 301 549, European Accessibility Act and Web Accessibility Directive references name the requirement an automated accessibility rule relates to; they are not a conformance verdict.

Retrieved 2026-10-25

Earlier scans of this domain

  1. 79/100 −1Low23 findingsView report
  2. 80/100Low20 findingsView report
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