For broker-dealers and OSJs
Supervision, records, and SSO for every rep you oversee.
Pre-publication approval, an append-only audit trail, examination export in one click, and sign-in through your identity provider. Built for the compliance principal, not just the rep.
What a principal sees.
One dashboard for every supervised rep, designed around the review work your procedures already require.
The approval queue.
Every pending item across every supervised rep, with the score, the flagged phrases, and the rule behind each one.
Registration status.
BrokerCheck is polled on a schedule. Disclosure events and status changes surface to the principal, and publishing can be gated on them.
Pass rate and risk by rep.
Who is publishing clean, who is generating flags, and what kind. The view an OSJ uses to decide where to spend review time.
Every decision, timestamped.
Approve, reject, or request changes. Comments and outcomes are written to an append-only log that no role can edit, including ours.
What the Firm plan adds.
Every rep on a Firm subscription receives the full Pro package. These controls sit above them.
| Capability | How it works |
|---|---|
| Pre-publication approval | Required per content type. Reps cannot publish until a principal signs off. Post-publication review and rules-only modes are available for firms whose procedures allow them. |
| Append-only audit log | Compliance checks, approvals, content versions, email sends, and CRD sync events are insert-only. Database triggers reject UPDATE and DELETE for every role, including the service role. |
| Examination export | One ZIP per rep, or in bulk across the firm: summary, every compliance check, content snapshots, the audit log, and the approval chain. |
| Firm rule sets | Your written supervisory procedures encoded as rules that run alongside the FINRA and SEC checks, with severity tuned by content type or by individual rep. |
| Brand and disclosure constraints | Required disclosures, approved firm names, and design constraints applied across every rep site from the Firm Admin Console. |
| SAML 2.0 SSO and SCIM | Reps and principals sign in through your identity provider. Provisioning and deprovisioning follow your directory. |
| White-label | Remove the "Powered by RepReady" footer across rep sites. |
| Support | Dedicated customer success contact for the firm, plus phone and live chat for every rep. |
- Pre-publication approval
- Required per content type. Reps cannot publish until a principal signs off. Post-publication review and rules-only modes are available for firms whose procedures allow them.
- Append-only audit log
- Compliance checks, approvals, content versions, email sends, and CRD sync events are insert-only. Database triggers reject UPDATE and DELETE for every role, including the service role.
- Examination export
- One ZIP per rep, or in bulk across the firm: summary, every compliance check, content snapshots, the audit log, and the approval chain.
- Firm rule sets
- Your written supervisory procedures encoded as rules that run alongside the FINRA and SEC checks, with severity tuned by content type or by individual rep.
- Brand and disclosure constraints
- Required disclosures, approved firm names, and design constraints applied across every rep site from the Firm Admin Console.
- SAML 2.0 SSO and SCIM
- Reps and principals sign in through your identity provider. Provisioning and deprovisioning follow your directory.
- White-label
- Remove the "Powered by RepReady" footer across rep sites.
- Support
- Dedicated customer success contact for the firm, plus phone and live chat for every rep.
How a firm pilot runs.
Your compliance team evaluates the workflow on a sandbox tenant before anyone at the firm commits.
Request a sandbox tenant.
We provision a firm tenant with five demo reps and sample content in a mix of passing and failing states.
Run the workflow end to end.
Your compliance team works the queue, tunes a firm rule, and pulls an examination export, using your own procedures.
Decide with the artifacts in hand.
You keep the export and the audit log from the pilot. Firm pricing is by order form, with a 24-month initial term.
Put your procedures in front of the product.
A sandbox tenant with five demo reps, your rules, and a real examination export at the end.