FINRA Compliance Software That Turns Supervision Into Proof.
FINRA compliance software for broker-dealers that need to manage written supervisory procedures, monitor controls, document oversight, and demonstrate how their supervisory system works in practice.
Skematic connects your WSPs, supervisory controls, annual certification, personal account dealing, employee compliance, communications reviews, AML workflows, cases, tasks, and records in one structured system.
Move from written policies to working evidence.
From WSPs to assigned responsibility
Connect supervisory procedures and regulatory obligations to controls, tasks, owners, reviewers, and deadlines.
From testing to documented action
Manage reviews, exceptions, findings, remediation, approvals, and supporting documentation in one place.
From activity to supervisory oversight
Give compliance teams, principals, and senior management a clearer view of open issues, overdue actions, review history, and evidence of supervision.
How Skematic supports FINRA compliance requirements
Skematic helps firms organize and evidence the operational work behind FINRA compliance. It does not replace regulatory advice, legal interpretation, or the judgment of a firm’s compliance officers and principals.
Rule 3110: Supervision
Skematic connects WSPs to supervisory tasks, recurring reviews, accountable principals, findings, follow-up actions, and supporting documentation.
Rule 3120: Supervisory Control System
Schedule supervisory control testing, assign review responsibility, record exceptions, track remediation, and preserve the evidence used to support reporting all in Skematic.
Rule 4530: Reporting Requirements
Skematic routes potential reportable matters for review, assign deadlines, document decisions, track follow-up, and retain the supporting case record.
Rule 3130: Annual Certifications
Skematic maintains a structured record of compliance activities, testing, policy updates, management review, and supporting evidence for the annual certification process.
Rule 2210: Communications with the Public
Skematic gives compliance and business teams one place to submit, review, amend, approve, and retain communications with version history and audit trails.
Rule 4510 Series: Books and Records
Skematic creates centralized, timestamped records connected to the relevant employee, customer matter, task, case, communication, approval, or supervisory review.
Rules 3270 and 3280: OBAs and Privates
Skematic collects employee disclosures, route them for review, document determinations and approvals, assign follow-up tasks, and maintain the full decision history.
Rule 3210: Other Accounts
Skematic manages employee account disclosures, approval workflows, documentation requests, and review records within the employee compliance program.
Rule 2165: Financial Exploitation of Specified Adults
Skematic organizes the workflow around escalation, review, documentation, approvals, follow-up, and supporting records where the firm relies on applicable senior-investor protections.
Rule 3310: Anti-Money Laundering
Skematic schedules AML policy reviews and independent testing, assign actions, track deficiencies, and preserve documentation of oversight and remediation.
Rule 3220: Gratuities
Skematic collects gifts and entertainment disclosures, route submissions for review, document approvals or refusals, and maintain a central record.
One connected system for the work behind FINRA compliance.
Turn WSPs and supervisory controls into owned, trackable work
Manage the recurring reviews, policies, procedures, controls, findings, and actions that keep your supervisory system moving.
- Build and manage a central compliance calendar.
- Link controls directly to applicable FINRA rules or internal procedures.
- Assign principals, reviewers, deadlines, and follow-up actions.
- Track overdue and incomplete supervisory work.
- Generate reports for senior management, internal committees, or regulatory review.
Make employee conflicts and obligations easier to manage
Bring personal trading, outside business activities, private securities transactions, employee accounts, gifts, certifications, and disclosures into one secure workflow.
- Manage employee disclosures and preclearance requests.
- Record approvals, prohibitions, and exceptions.
- Track outside business activity and private securities transaction reviews.
- Monitor personal trading for supported accounts.
- Connect to supported broker data sources.
- Maintain a complete review and decision history.
Review marketing communications without losing the supervisory record
Give compliance, legal, marketing, and business teams one process for submitting, reviewing, approving, and retaining communications with the public.
- Submit advertisements and communications for review.
- Coordinate comments and revisions.
- Document principal approvals and sign-offs.
- Preserve version history.
- Maintain an audit trail for each review.
Turn agreements and obligations into active supervisory work
Connect contracts, vendor commitments, agreements, and important dates to the people responsible for managing them.
- Organize contracts, agreements, and supporting documents.
- Track obligations and key dates.
- Assign follow-up tasks.
- Manage permissions and access.
- Preserve documentation centrally.
A more connected way to run your supervisory program
1. Plan
Translate WSPs, FINRA rules, business activities, and firm-specific risks into a structured calendar of supervisory reviews and controls.
2. Supervise
Assign reviews, testing, employee submissions, communications approvals, and control checks to the responsible principals and compliance staff.
3. Escalate
Record exceptions, potential violations, complaints, overdue actions, and control deficiencies in a consistent case and remediation workflow.
4. Evidence
Retain the procedures, review notes, approvals, findings, actions, and supporting documents that demonstrate how supervision was performed.
5. Report
Give senior management and compliance leadership clearer visibility into program progress, open issues, recurring themes, and outstanding actions.
The Skematic difference
Built around how broker-dealer compliance actually runs
Skematic was shaped by people with deep experience in financial services compliance. The platform reflects the practical work behind supervision: planning, reviewing, testing, escalating, documenting, and reporting.
One connected system instead of disconnected tools
WSPs, supervisory controls, employee activities, communications approvals, cases, tasks, and records can flow together instead of being managed across separate spreadsheets, folders, and inboxes.
Evidence captured as supervision happens
Skematic creates a clearer record of what was submitted, reviewed, approved, changed, assigned, completed, escalated, and remediated.
Easier for associated persons to use
Employee disclosures, personal account dealing requests, OBA submissions, private securities transaction reviews, certifications, and approvals are easier to manage when employees have a clear workflow.
Modern technology with practical compliance expertise
Workflow automation, supported broker connections, structured records, and a modern user experience reduce the manual overhead that makes supervisory programs difficult to maintain.
Make your FINRA compliance program easier to operate and evidence
Your supervisory system should not depend on individual memory, disconnected spreadsheets, or long email chains.Skematic connects your WSPs, supervisory controls, personal account dealing, employee obligations, communications reviews, AML activity, cases, findings, and records in one system.
FINRA compliance software FAQs
FINRA compliance software helps broker-dealers manage written supervisory procedures, supervisory controls, employee obligations, communications reviews, AML workflows, complaints, reporting matters, remediation, and records.