Broker-dealers

Your compliance is our priority

Whether you manage five, 500 or 5,000+ registered broker-dealer representatives, we know how burdensome manual processes can be, taking your team’s time, energy and focus away from other high-priority initiatives. Not anymore – say hello to automation with accuracy!

Empower your compliance team

A customized solution to meet the most exacting compliance requirements

Whether your focusing on institutional or retail trades, we know the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) play a major role in your day-to-day responsibilities. 

Strict oversight, combined with the challenges of the evolving regulatory landscape, mean a lot is expected from your compliance team, which is why we know you demand a partner that’s as accurate, precise and dependable as you.

Meet ComplySci. With the power of our portfolio of firms, we combine technology, consulting and educational solutions to help keep your compliance program at peak performance. Ready to see how we can help you achieve compliance?

– Bluerock Capital Markets, LLC Senior Compliance Officer Kamala Connors
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Streamline and automate your firm's certifications and attestations.

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Protect against insider trading risk, including front running.

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Respond to changing regulations quickly and with confidence.

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Manage, identify and report on points of compliance risk in a single platform.

Safeguard your reputation

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Focus on what matters most

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Gain forward-looking insight

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Don't take our word for it

Frequently asked questions

Why does a broker-dealer need to be SEC and FINRA compliant?
How can registered representatives at my firm meet compliance requirements?
Why do I need financial regulatory compliance software?
What advantages are there to partnering with a compliance software provider offering integrated broker feeds?
What solutions does ComplySci offer for broker-dealers?
Does COMPLY offer a solution for registration and licensing of brokers?
Does ComplySci offer solutions for broker-dealers who must comply with the SEC's new Marketing Rule?
Does COMPLY provide a solution to help broker-dealers complete the requirements for the Written Supervisory Procedures Checklist?
Does COMPLY offer solutions for broker-dealers who must comply with the DOL's PTE 2020-02 exemption?
What kind of continuing education does ComplySci provide for broker-dealers?
How do I get the most out of my financial regulatory compliance software?
How long does the onboarding process usually take?
What type of customer support is provided?
How can I schedule a demo?

Ready to get started?

Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with ComplySci.