Smarsh solutions for FINRA member firms

Implement and enforce effective electronic recordkeeping, advertising and supervision policies for today's modern communication channels.

 

Read the Guide to Compliant Productivity

More firms trust Smarsh than any other provider

FINRA firms of all sizes rely on Smarsh to help them comply with books and records rules (SEC 17a-3 and 17a-4), the FINRA Communications Rules (2210, 2212–2216), supervision guidelines and ongoing guidance around websites, blogs and social media.

Records and Compliance Managers

Records and Compliance Managers

Have all content accessible in one place so you can respond to regulatory requests both quickly and easily, as well as conduct internal investigations and audits.
Broker Dealers

Broker Dealers

Capture all communications associated with your work in a compliant, search-ready way. Communicate using the channels you want without worrying about the risks of non-compliance.
Attorneys, Clerks & Legal Staff

Attorneys, Clerks & Legal Staff

Reduce the time and costs associated with e-discovery, activate legal holds and efficiently produce content for audits, investigations or litigation without relying on manual processes.
Personas and Identity Management

CTOs, CIOs & IT Staff

Centralise archived communications in a single, tamper-proof, WORM-compliant, comprehensive solution for all your content.
Supervisors

Supervisors

Supervise all communications effectively and efficiently using automated message monitoring and review, customisable policies and queues. Track team-based review progress with user-friendly dashboards.

Meet regulatory obligations

We understand the complex compliance needs of regulated firms like yours

 

Benefits

Benefits for broker dealers of all sizes

Regulatory compliance

Regulatory compliance

Preserve and store data on tamper-proof media to meet SEC rule 17a-4 and other FINRA rules.

Compliance workflow

Compliance workflow

Customize supervision policies and keyword lists and streamline compliance review workflow.

Audit trail for compliance

Audit trail for compliance

Show proof of supervisory procedures through a detailed audit history of every action taken in the platform.

Exam tested

Exam tested

Be prepared for regulatory examinations or requests with on-demand data protection.

Integration with Work Phone Copy 6

Third party downloader

Smarsh is an industry-recognized third-party downloader to satisfy SEC rule 17-a-4.

Third party downloader

Administration and migration

Whether you’re a 1-person firm or have 1000s of branches, it’s easy to manage users and to migrate data.

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Ready to enable compliant productivity?

Join the 6,500+ customers using Smarsh to drive their business forward.