SEC and FINRA

finra

GlobalSearch Supports SEC and FINRA to Help Get Your Firm Certified

GlobalSearch helps financial organizations cost-effectively comply with SEC and FINRA requirements for maintaining confidential client documentation, while enabling firms to develop consistent record maintenance policies, increase profits, streamline workflow and lower costs.

SEC and FINRA Compliance is Required By:

  • Financial Services Institutions
  • Venture Advisory Firms
  • Hedge-Fund Broker-Dealers
  • Independent Investment Advisors
  • Firm-Affiliated Stockbrokers
  • Audit Companies
Download the SEC & FINRA Brochure

Key Features & Benefits:

  • Easily access and retrieve financial documents
  • Gain visibility into duplicate copies of an original record and all revised versions
  • Secure limited access to the records with user-based permissions
  • Automate communication supervision to eliminate conflicts of interest
  • Automate document indexing for quick access to records
  • Store records in TIFF or PDF format to safeguard them from alteration
  • Automatically log all actions made to a record
  • Set automated document routes to ensure proper communication and retention

Extended Functionality

GlobalSearch not only simplifies SEC and FINRA compliance, it also helps increase information security, expedite audits, reduce document storage costs and streamlines business continuity.

  • Advanced Capture

    Automatically extract data to help distinguish retention dates, archiving location and access permission rights. This expedites audits with the ability to easily perform searches that find documents within seconds.

  • Process Automation

    GlobalAction allows for stress-free record retention automation while providing visibility and supervision over records released to email to ensure communications comply with SEC and FINRA regulations.

  • Comprehensive Security

    Protect records from unauthorized access while monitoring user activity of confidential information. GlobalSearch helps firms to avoid internal security threats and accidental distribution of private client data through user-based security controls.

  • Document Versioning

    GlobalSearch monitors user activity to help financial institutions to supervise record actions for potential misuse. Store information in an unalterable format such as TIFF or PDF and leverage document versioning to ensure confidence in record procedures.