For broker-dealers and OSJs
Pre-publication approval, append-only audit trail, examination export. Drop the manual content review tracking.
Every supervised rep, their pending content, their CRD risk level, their compliance pass rate. Click into any item to approve, reject, or request changes.
Configure pre-publication review per content type. Reps can’t publish until you sign off. Every decision (and every comment) is timestamped and immutable.
Layer your firm’s own content rules on top of the standard FINRA + SEC checks. Tune severity by content type or by individual rep.
One click. ZIP with summary, every compliance check, content snapshots, audit log, approval chain. Hand it to FINRA exactly the way they want it.
We’ll spin up a sandbox tenant with 5 demo reps so your compliance team can run the workflow end-to-end before you commit.
Request firm pilot