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.
Meet regulatory obligations
We understand the complex compiance needs of regulared firms like yours
Benefits for broker dealers of all sizes
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Archiving and Monitoring For Compliance
Take 25 minutes and see what a modern solution for archiving and compliance looks like.
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