Compliance Technology for Broker-Dealers

Every piece of retail communication must be reviewed, approved, and archived. The volume alone can overwhelm compliance teams.

AI-powered pre-screening catches violations before they reach your principal reviewer. The submitter selects the audience type — correspondence, retail, or institutional — and the review applies FINRA Rule 2210 accordingly.

Marketing teams wait days or weeks for compliance approval, slowing campaigns and frustrating advisors.

Streamlined review queues with AI-assisted analysis reduce turnaround from days to hours. Registered reps submit materials through a self-service portal with real-time status tracking.

Supervising registered representatives across multiple locations requires consistent oversight and thorough documentation.

Centralized supervision dashboards give you visibility into every rep's compliance status, training completion, outside business activities, and customer complaint history.

FINRA cycle exams and cause exams require rapid document production and evidence of supervisory procedures.

Maintain continuous exam readiness with organized digital records, automated supervisory logs, and one-click document production for examiners.