archiving solutions

Smarsh solutions for

FINRA member firms

Implement and enforce effective electronic
recordkeeping, advertising and supervision
policies with our end-to-end archiving and
compliance solutions.

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MORE BROKER-DEALERS TRUST SMARSH THAN ANY OTHER PROVIDER

 
Transamerica
proequities
hd vest
BBVA
Securities America

We understand the com­plex com­pli­ance needs of reg­u­lated firms like yours. We’ve pioneered best practices in electronic communications oversight and helped customers through thousands of regulatory audits and e-discovery events. We’ve designed our solutions to help you meet the legal and regulatory compliance mandates that shape the market landscape today.

The Archiving Platform

Join the many thousands of Smarsh customers in regulated industries enjoying the benefits of a unified, search-ready repository and interface for lightning-fast, powerful e-discovery and automated, policy-based compliance supervision for all of their email, instant messaging, text, web, video and social media communications.

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Web Archiving

Maintain a comprehensive history of your website’s evolution. Web archiving instantly captures revisions, documents, links to third-party content, and interactive features—without losing their context or functionality. Website content is reliably retained in its original form and it can be easily accessed and produced.

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Email Encryption

Protect sensitive files, attachments, and other shared information across most popular email platforms. Flexible and customizable email security policies reduce the risk of punitive and damaging consequences. Features a complete audit trail to help you meet regulatory compliance requirements.

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BENEFITS FOR BROKER-DEALERS OF ALL SIZES

Regulatory Compliance

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

Exam Tested

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

Compliance Workflow

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

Third-party Downloader

Smarsh is an industry-recognized Third Party Downloader to satisfy SEC rule 17a-4.

Audit Trail for Compliance

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

Administration & Migration

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

State-of-the-Art Security and Encryption

Smarsh Social Media Archiving

SECURITY

Our fully redundant SSAE16 SOC2/3 data centers meet the Systrust security control set, including floor-to-ceiling walls, key-card biometric readers, and 24–7 surveillance and security.

Smarsh Social Media Archiving

PRIVACY

There is no higher priority than the privacy and security of our customers’ data. We comply with global privacy and data protection regulations, including US-EU Safe Harbor Certification.

Smarsh Social Media Archiving

PERSONNEL

Physical and logical access of our data centers and offices are restricted to Smarsh employees only. We run rigorous background checks on all employees.

Smarsh Social Media Archiving

ENCRYPTION

User authentication for the Archiving Platform is via 256-bit SSL encryption. Data is protected using forced 2048-bit SSL and TLS encryption.

Learn more about the Smarsh solutions for Broker-Dealers