ComplySci Who We Serve Solutions Customer Experience Resources About Open search Login Request Demo Ready to Talk? Industries Broker-Dealers Compliance Monitoring Solutions for Broker-Dealers Request a Demo Broker-Dealer firms that are buying and selling securities for either themselves or their customers are regulated in the United States by both the SEC and FINRA. This oversight requires adherence to FINRA Rules 3210 and supervisory regulations related to FINRA Rules 3120 and 3130 and can extend to non-US firms that provide services to US investors. Firms also face an evolving regulatory landscape where compliance failures have brought severe penalties, lawsuits, and reputational damage. ComplySci’s employee compliance software digitally transforms compliance with customized workflows around supervision of accounts at other broker-dealers and financial institutions. We help compliance officers who are responsible for oversight track conflicts of interest and monitor activities related to personal trading, gifts and entertainment, political contributions, outside business activities, selling away, marketing materials, IPOs, and private placements. Contact ComplySci USA 136 Madison Avenue New York, NY 10016 (1) 212-327-1533 ComplySci Europe 9 Appold Street London, EC2A 2AP +44 (0) 207-081-3111 ComplySci on linkedin ComplySci on twitter Company Home About ComplySci Leadership Careers News Locations Contact Us Platform Login Complex Compliance Organizations Small Compliance Teams Solutions Customer Experience Resources Blog Product Information Whitepapers Industry Guides Email Updates ©2021 ComplySci Terms of Use Privacy Policy × By using our website you consent to all cookies in accordance with our Cookie Policy. Read more STRICTLY NECESSARY PERFORMANCE TARGETING FUNCTIONALITY SHOW DETAILS ACCEPT ALL DECLINE ALL