FINRA Compliance

 Ensure complete, accurate, and accessible transaction records with automated retention and secure digital storage aligned to FINRA Rule 4511. 

 Immutable audit logs track every transaction and change, preserving data integrity and transparency across all user and system activity. 

 Automated approval workflows and validations enforce internal controls over financial reporting, supporting regulatory and audit requirements. 

 Secure role-based access with MFA and compliance-driven cyber policies ensures user actions are traceable and protected.  

 Capture and retain business communications in compliant formats using tagging, archiving, and WORM storage to meet FINRA obligations. 

  Real-time alerts and dashboards support accurate reporting and proactive surveillance of policy violations or anomalies. 

  Ensure resilient operations through geo-redundant backups, tested DR plans, and clearly defined recovery protocols aligned with FINRA expectations.