FINRA Compliance Services for electronic communications review
Meet FINRA communication standards without slowing down how your teams operate.
Keep every outbound message fair, balanced, and defensible. We help broker-dealers and advisory firms review, track, and evidence electronic communications at scale.
NDA review bottlenecks that slow deals and increase legal risk
Manual NDA review cycles, inconsistent clause handling, and lack of standardization continue to delay deal timelines and increase exposure. Here's what the data shows.
$400,000
fined to a single firm for failing to monitor off-channel communications
$88.4M
in FINRA fines in a single year
625
disciplinary actions taken by FINRA in 2025
Solution
FINRA electronic communication review services
We build a daily review engine that captures, filters, assigns, and escalates communications without slowing your business down.
Communication Capture & Archival
We capture and retain employee communications including attachments directly from your existing platforms such as Compliance Accelerator and Global Relay.
Keyword Lexicon Design & Dynamic Optimization
We work with your compliance team to build and refine keyword libraries that surface high-risk or non-compliant language patterns. Keyword sets evolve continuously based on review outcomes, emerging risks, and regulatory expectations.
Intelligent Sampling, Filtering and Routing
Emails are flagged based on keyword triggers and random sampling logic. Flagged communications are routed to designated reviewers through structured queues.
Daily Correspondence Review
Reviewers assess communications daily against FINRA Rule 2210 standards and your firm’s internal policies.
Escalation & Compliance Actioning
Suspicious or non-compliant communications are escalated to your compliance team with clear documentation and audit trails.
Audit Trail & Recordkeeping
Every review, escalation, and resolution is documented and retained in line with broker-dealer and advisory regulatory requirements.
Benefits
Business impact of FINRA-compliant communication review
Stronger supervision and structured communication review means compliance consistency and reduced business risk.
01.
Clear visibility into employee communications across channels
02.
Faster identification and escalation of risky or misleading content
03.
Reduced regulatory exposure and audit stress
04.
Stronger supervision frameworks aligned with FINRA expectations
05.
Documented audit trails that stand up to scrutiny
06.
Scalable review processes without increasing internal headcount
Target industries
FINRA compliance support across regulated financial services
Private Equity & Investment Firms
Banking & Financial Services
Healthcare & Life Sciences
Technology & SaaS
Manufacturing & Supply Chain
Energy & Utilities
Telecom & Media
Government & Public Sector
Need a FINRA-ready communication review framework that scales with your business?
Our specialists build supervision systems that regulators respect and teams actually use.
Questions asked by financial services firms regarding electronic communication supervision
What types of communications fall under FINRA Rule 2210?
Retail communications, correspondence, and institutional communications across email, social media, and digital messaging platforms all fall within scope.
How frequently should electronic communications be reviewed?
Most firms follow a daily review cycle with a mix of keyword-based flagging and random sampling to ensure consistent oversight.
Can this work with our existing compliance platforms?
Yes. We integrate directly with platforms like Global Relay and Compliance Accelerator, working within your current environment.
How do you reduce false positives in keyword flagging?
Keyword libraries are continuously refined based on reviewer feedback, reducing noise while improving detection accuracy.
What happens after a communication is flagged?
It is escalated to your compliance team with context, documentation, and recommended next steps, ensuring proper resolution and recordkeeping.
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