Broker-Dealers

Capture, archive and monitor business communications for compliance

The leading choice for financial compliance

For over 20 years, Smarsh has helped financial firms confidently meet FINRA recordkeeping and supervisory obligations and SEC storage requirements with purpose-built compliance solutions and services. With Smarsh, you can market and sell securities using the latest digital communications channels, all while staying compliant and keeping your data secure.

Smarsh works for your whole organization

By organization type

  • Broker-dealer
  • Hedge fund
  • Private equity
  • Real estate investment trusts
  • Mutual fund
  • Pension fund
  • Investment company
  • Venture capital
  • Swap dealer
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Records and compliance managers

Find all your content easily accessible in one place, so you can respond to regulatory requests quickly and conduct internal investigations and audits.
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Supervision reviewers

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

Communicate using the most popular channels without fear of a compliance violation and resulting consequences.
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Attorneys, clerks & legal staff

Reduce the time and cost of e-discovery, activate legal holds, and automatically produce content for audits, investigations or litigation.
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CTOs, CIOs & IT staff

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

Benefits for financial firms of all sizes

Solutions to help you meet your communications compliance challenges

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Regulatory compliance

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

Customize supervision policies and keyword lists and simplify your compliance review workflow.
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Audit trail for compliance

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

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

Smarsh is an industry-recognized third-party downloaded to satisfy SEC rule 17a-4.
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Administration and migration

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

Confidently satisfy regulatory obligations

Purpose-built solutions to help firms of all sizes and specialties comply with regulations including SEC 17a-3 and 17a-4, FINRA 4511, 3110, 3120 and the FINRA Communications Rules (2210, 2212-2216)

SEC rule 17a of the Securities Exchange Act of 1934

FINRA rule 4511

FINRA rule 2210 and 2212-16

More than 6,500 customers worldwide trust Smarsh to protect their data

Security

Security

Every Smarsh customer benefits from our top-tier data centers and security offerings

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Privacy

We comply with global privacy and data protection regulations to give you peace of mind

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Compliance

Stay compliant while enabling your employees to use the latest communications channels

View our products

Capture and manage content from over 100+ of the latest channels, right from the source, with full context preserved

Reduce the time, cost and effort of e-discovery for investigation and litigation

Reveal risk, comply with regulations, protect against threats and safeguard your company’s reputation

Stay up to date with the latest resources

Mobile and Text Messaging

Take 25 minutes and see what a modern solution for archiving and compliance looks like.

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