Compliance for SEC & FINRA Rules in Communications

Securing Records, Avoiding Fines: The MailSPEC Advantage

The SEC and FINRA regulators do not just ask you to save records – they demand that those records be tamper-proof, easily accessible for eDiscovery, and always ready for an audit without excuses.

MailSPEC offers a suite of compliant tools for broker-dealers, investment advisers, clearing firms, Venture Capital firms, and other financial service providers who know that a single misstep in record-keeping or data control can be disastrous.

Real-Life Scenarios Where MailSPEC Makes SEC & FINRA Compliance Painless

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1. An Advisor Sends a Quick Text to a Client Outside Office Hours
2. Sending a Sensitive Document to a Client
3. Traders Chatting About a Big Trade
4. Responding to a Regulator’s Audit Request

Why SEC & FINRA Compliance Officers Choose MailSPEC

Direct Alignment with Critical Rules

  • SEC Rule 17a-4(f): WORM storage and indexed archival of records
  • FINRA Rule 2210: Capture and supervision of communications with the public
  • SEC Rule 204-2: Books and records for investment advisers

Proactive Policy Enforcement

  • Real-time monitoring and intervention powered by client-side AI policy engine
  • Drop-in Compliance for Office365, Desktop Outlook, Oracle NetSuite, and SDK for more
  • Retention policies that can be set to 3, 6, or 7-year durations
  • Metadata tagging for classification, access roles, and audit trails – nice and straightforward.

Built for Regulatory Audits

  • Immutable storage with full journaling and audit logs – no fudging the records
  • Escrow retention that keep your data safe with no single point of access
  • Rapid record retrieval within 24-48 hours – that is what we call 'proactive’.
  • Role based eDiscovery with Air-gap option for high security topologies

Operational Benefits for IT and Compliance

  • Seamless integration with Microsoft 365 and Oracle NetSuite – drop-in compliance without pain
  • SDK for trader, patient records, and asset management applications – no more clunky integration
  • No new portals, passwords, or retraining required – our system just works inside the communications systems
  • Sovereign cloud deployment keeps data within your legal jurisdiction – peace of mind with data integrity
  • No sharing, scraping, or third-party access to records or metadata – AI is on-deck, and so is encryption

SEC & FINRA Compliance Made Simple with Core Tools

EasyCrypt - Email Encryption, Journaling & More
Pulse - Chat Like a Pro with Encryption & Archival
PassLink - Secure File Sharing Just Got a Whole Lot Easier
JACE - The Journaling, Archival, Compliance & Escrow Engine

MailSPEC in Action: SEC & FINRA Compliance Made Easy

Supervising Your Registered Reps

Get broker-dealer communications under control and make reviewing them a breeze FINRA Rule 3110, no problem

Cybersecurity - the Elephant in the Room

Prevent credential phishing and unauthorized access with our biometric login protections, as simple as that

Multi-Entity Archiving - No More Headaches

Need to store communications for multiple firms or business lines? JACE has got you covered, segmented retention, no problem

Client Disclosures - the Right Way

Send those risk disclosures or policy changes securely and track who's actually got them, peace of mind guaranteed

Frequently Asked Questions: SEC, FINRA, & MailSPEC

Is Your Archival Solution up to Snuff with SEC Rule 17a-4?
Can You Apply Different Retention Policies for Different Business Lines?
Do Your Solutions Play Nice with Office 365 and Oracle NetSuite?
What if Your Advisors Stick to Using WhatsApp or iMessage?
How Quickly Can You Retrieve Records for an Audit?

Ready to See How MailSPEC Can Transform Your SEC & FINRA Compliance?

Book a Demo Now
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