Unified Compliance for Dual-Registrant Firms
Stop managing SEC and FINRA compliance in separate silos. Compliance Approved brings both regulatory frameworks into a single, intelligent platform.
The Dual-Registrant Compliance Challenge
Operating under both SEC and FINRA creates unique compliance complexities that generic tools can't handle.
Overlapping Regulatory Requirements
SEC and FINRA rules often cover similar ground but with different standards. Tracking which rule applies to which activity creates confusion and compliance gaps.
Duplicative Record-Keeping
Maintaining separate documentation for SEC and FINRA examinations leads to redundant work, inconsistent records, and wasted compliance hours.
Conflicting Review Standards
The SEC Marketing Rule and FINRA Rule 2210 have different requirements for advertising review. Applying the wrong standard to the wrong communication creates regulatory risk.
Unified Supervisory Procedures
Writing supervisory procedures that satisfy both regulators without creating contradictions requires deep expertise in both frameworks.
One Platform, Both Regulators
Compliance Approved was architected from day one to support dual-registrant firms.
Single Source of Truth
One platform that understands both SEC and FINRA requirements. Submit a communication once and get it reviewed against both regulatory frameworks simultaneously.
Intelligent Rule Mapping
Compliance Approved automatically determines which regulations apply based on the type of communication, audience, and business activity — eliminating guesswork.
Unified Audit Trail
Every action, review, and approval is logged in a single audit trail that can be filtered and exported for either SEC or FINRA examinations.
Harmonized Policies
Build policies that address both regulatory frameworks with clear annotations showing which provisions satisfy which requirements.
Dual Exam Prep
Generate examination preparation packages tailored for SEC or FINRA examiners, drawing from the same underlying data but formatted to each regulator's expectations.
Cross-Registration Reporting
Consolidated dashboards show your compliance posture across both registrations, highlighting areas that need attention under either framework.
How It Works
Configure your firm's registration types and applicable regulations during onboarding.
Submit communications and compliance activities through a single workflow.
Our AI engine identifies which SEC and FINRA rules apply and reviews against both standards.
Receive consolidated feedback with clear annotations for each regulatory framework.
Maintain unified records that can be filtered and exported for either regulator.
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.