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

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.

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.

Broker-dealers

Communicate using the most popular channels without fear of a compliance violation and resulting consequences.

Attorneys, clerks & legal staff

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

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

Regulatory compliance

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

Intuitive compliance workflow

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

Audit trail for compliance

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

Exam tested

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

Third-party downloader

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

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)