One Compliance Platform, Every Communication
Capture, archive, and supervise every communication to meet FINRA and SEC requirements — eliminating gaps, delays, and manual workarounds.
The trusted choice for financial compliance
Confidently meet FINRA recordkeeping and supervisory obligations and SEC storage requirements with a platform and services designed for regulated financial firms. Market and sell securities using the communications channels your customers prefer — mobile, voice, email, AI, video, chat and more — while keeping every record secure and audit-ready.
Solutions for every role
Make compliance an embedded part of every workflow with a modern compliance and data intelligence platform built for the way your team works.
Broker-dealers
Communicate compliantly using the communications channels your customers and employees prefer without manual compliance workarounds.
Compliance and records managers
Respond to regulatory requests quickly with centralized access to all your communications — fully indexed and audit-ready.
Supervision reviewers
Cut through the noise with automated message monitoring, AI-assisted review, and customizable policies.
Attorneys, clerks, and legal staff
Reduce the time and cost of discovery, activate legal holds, and automatically produce content for audits, investigations, or litigation.
CTOs, CIOs, and IT staff
Centralize archived communications with secure, tamper-proof, immutable storage that meets all regulatory standards.
Modern compliance for every brokerage firm:
Broker-dealer | Hedge fund | Private equity | Real estate investment trusts | Mutual fund | Pension fund | Investment company | Venture capital | Swap dealer
Scalable compliance technology for broker-dealer firms of all sizes
Adapt the platform to reflect your firm’s size and structure. Get exactly what you need today, with the flexibility to expand seamlessly as your business grows.
AI-assisted supervision
Your always-on compliance partner that intelligently flags potential risks and streamlines manual review.
Always audit-ready
Show proof of supervisory procedures with a complete audit trail of every action taken in the platform.
Secure compliance
Preserve data on tamper-proof media to satisfy SEC and FINRA rules.
Fast, simple search
Find what you’re looking for quickly and reliably across all your archived communications.
Exam-tested production
Be prepared for regulatory examinations or requests with on-demand data production. Produce and deliver records without delay with self-service exports.
Easy management
Manage users and migrate data effortlessly — whether you’re a single-office firm or a multi-location enterprise.Confidently satisfy regulatory obligations
SEC 17a-3
Requires brokers-dealers to maintain timely, detailed records of all securities transactions.
SEC 17a-4
Requires regulated firms to retain, index, and securely store transaction records for set periods.
FINRA Rule 4511
Requires firms to create, preserve, and securely retain required records for at least six years.
FINRA Rule 3110
Requires firms to develop and enforce written procedures to supervise business activities, monitor communications, and ensure compliance with regulatory requirements.
One platform, complete compliance
Capture
Capture every interaction
Capture communications across mobile, voice, email, AI, video, chat and more — all in their native format with full context. Address rules for communications oversight without manual work or content gaps.
Archive
Archive with audit readiness
Preserve communications in a tamper-proof, immutable archive with fast, indexed access to all communications data. Give your teams the confidence and speed they need for supervision, audits, and innovation.
Surveillance
AI-powered risk detection
Surface potential violations faster with intelligent supervision tools. Use AI to detect risk, minimize false positives, and allow your compliance team to focus on what matters most.
Discovery
Accelerate discovery
Respond to exams, investigations, and litigation in minutes with powerful search, legal hold, and export tools, increasing defensibility and efficiency.
Cyber Compliance
Cybersecurity compliance
Monitor devices, users, and network activity in real time to detect and fix vulnerabilities — from weak credentials to missing encryption — to stay compliant and audit-ready year-round.
Why Smarsh?
Trusted by thousands of regulated firms, Smarsh helps broker-dealers meet rigorous regulatory requirements with confidence. Our secure, scalable platform captures communications across every communications channel and surfaces actionable insights through AI. We help you reduce regulatory risk, accelerate supervision, and stay audit-ready in a fast-moving market.