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.

Other products that may be of interest to you

supervision-icon

Supervision TM

To reveal and manage risk, increase reviewer
productivity and streamline compliance.

supervision-placement-min
connected arcive icon

Connected Capture TM

Capture solutions across 80+
communication channels.

LEARN MORE

connected-capture-product-placement-min
connected arcive icon

Connected Archive TM

The market-leading cloud archive.

LEARN MORE

connected-archive-placement

Stay up to date with the latest resources

Archiving and Monitoring For Compliance

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

  • Join Smarsh at 3:30-4:30 PM for our session "A Survey of Emerging ESI" at the The Exchange eDiscovery event in NYC!… https://t.co/TXcoO05ZQd

  • Emojis are increasingly coming up in court cases. Judges are struggling with how to interpret them. Read for more: https://t.co/oAEfcIQ6c8

Screen Shot 2019 07 03 at 5 47 32 PM
Not Your Grandparents’ Archive: Three Key Features for Today’s Smart Cloud Archive
Read more
Events 19 Sifma cnl 1
SIFMA C&L Regional San Francisco
Read more
Events 19 The exchange ediscovery 3
The Exchange eDiscovery NYC
Read more

Ready to enable compliant productivity?

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

Get a Quote

Tell us about yourself, and we’ll be in touch right away.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

Contact Us

Tell us about yourself, and we’ll be in touch right away.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.