More Firms Trust Smarsh Than Any Other Provider
We empower FINRA broker-dealers to implement and enforce effective electronic recordkeeping, advertising and supervision policies for today's communication channels.
Get the Guide: Top 10 FINRA & SEC Violations and Penalties
Smarsh partners with FINRA member firms of all sizes. Our solutions 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. Broker-dealers trust our deep understanding of the compliance challenges they face and our proven ability to help them meet their regulatory obligations.
Our solutions deliver benefits for broker-dealers of all sizes
Whatever your role, Smarsh can make your job easier
Meet regulatory obligations
We understand the complex compliance challenges facing broker-dealers; our solutions ensure that you can meet your regulatory obligations
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