2014 FINRA Annual Conference Exhibitors
For your convenience, below is a list of vendors that exhibited at the 2014 FINRA Annual Conference. The list includes vendors that offer a wide range of products and services for broker-dealer firms that help them comply with securities laws and regulations.
Use of any products, services and/or materials offered by these exhibitors does not ensure compliance with regulatory requirements or create a safe harbor from regulatory responsibility. Firms should undertake their own assessments to determine whether the products or services meet their technology and security requirements. FINRA does not endorse these exhibitors or products, services and/or materials they offer, and firms are not obligated to use them.
Information included in this list was provided by the vendors for use at the Annual Conference in May 2014.
ACA Compliance Group (ACA)
ACA Compliance Group (ACA) is a full-service compliance consulting firm that is committed to offering unparalleled regulatory compliance and GIPS® verification services designed to satisfy the needs of broker-dealers, investment advisers, private funds and investment companies.
The Actiance Platform enables the use of Unified Communication, Enterprise Social Software, Instant Messaging, and social networks with the compliance to assist in meeting FINRA’s requirements. It integrates with existing infrastructures and scales as requirements change so organizations are always ready to unleash social business. Actiance is headquartered in Redwood City, California.
Axiom Software Laboratories (AxiomSL), global leader in regulatory reporting and risk-management solutions for the financial services industry, was established more than 20 years ago. AxiomSL empowers financial institutions to meet regulatory reporting and risk requirements across multiple regulators and jurisdictions on one platform. AxiomSL’s suite, quickly adaptable to evolving regulations, delivers a fully integrated solution, providing transparency and traceability, from data sourcing to final reports including XBRL submission.
Financial services firms must preserve billions of records, conversations and transactions. New products and services are generating more information even as new regulations increase the scope of data management requirements. The most comprehensive response for CIOs, CTOs, legal and compliance professionals, Bloomberg Vault, is an end-to-end, cloud-based secure hosted platform that consolidates your compliance, legal and data management processes into an integrated, real-time system.
Business Information Group, Inc. (BIG)
Business Information Group has been providing background investigations exclusively to the financial services industry since 1989. As a FINRA compliance resource provider, we offer discounted rates to FINRA firms on Livescan fingerprinting through our nationwide collection site network, and Disclosure Monitoring Services, which allow firms to periodically screen employees and registered representatives to help identify financial or criminal disclosure events.
CFM Partners, Inc.
CFM Partners, Inc. is a Governance, Risk and Compliance (GRC) company based in Washington, DC. We provide comprehensive cloud-based policy management, education, regulatory monitoring and compliance solutions to the financial services industry. As a knowledge-based company, we understand the industry, its regulatory environment and the importance of putting the right information into the right hands at the right time. The combination of our industry expertise and innovative technology allows us to deliver comprehensive solutions for effective compliance program management.
Charles Schwab Compliance Solutions
Compliance Solutions encompasses Schwab Designated Brokerage Services, Compliance11 employee-monitoring technology, and financial products and services for employees. Together, these solutions can help turn your compliance program into an opportunity to get ahead of employee-monitoring tasks, tighten controls, promote a positive employee experience, and build long-term value across the entire company.
Compliance Science is a leading technology vendor that offers governance, regulatory and compliance solutions that allow financial organizations to automate the complete review of their employee personal trading and code of ethics activities to include the tracking of company certifications, outside business affiliations, gifts and entertainment activities. Our dedicated team allows you to organize, supervise and archive your compliance activities while significantly reducing your operating costs. Start streamlining policies and procedures while managing risk by visiting our website.
DST provides solutions to help you comply with FINRA requirements such as consolidated reporting, suitability and know-your-customer (KYC). DST also provides full-service clearing services for independent broker-dealers looking to grow their firm's business, and has tailored sub-accounting solutions that eliminate barriers for smaller firms. DST is the world's leading third-party provider of mutual recordkeeping services, with leading solutions in customer communications, business process management, enterprise workflow automation, home office oversight and risk controls. Clearing services provided by DST Market Services LLC., member FINRA/SIPC.
Erado—where best practices of compliance and marketing merge. Erado delivers all the elements of an integrated compliance and marketing platform to customers worldwide with its Elements™ Compliance Platform. The Elements™ Compliance Platform provides archiving, analytics, security and hosted services for real-time management, and contextual capture of all electronic communications, across all communication channels. To discover how to leverage your compliance efforts for lead generation, visit our website.
eSentire is the leading innovator in active threat protection solutions and services, combining behavior-based analytics, immediate mitigation and actionable intelligence 24x7x365. Our security experts continuously monitor customer networks to detect and block cyber-attacks in real-time. Protecting over $1.3 trillion in combined assets, eSentire is the trusted choice of security decision-makers in financial services, healthcare, mining, energy, engineering and construction, legal services and technology companies. For more information, visit our website.
ExamFX is the leading provider of online prelicensing and exam preparation solutions for the insurance and financial services industries. With our state-specific practice exams, designed to closely mimic actual testing environments, first-time pass rates average over 95 percent. Our content is supported by cutting-edge online tools, including live webinars, virtual flash cards, videos, mobile apps and focused review. Available courses include Series 6 and 63, 65, 66, 7, 24, 26, Life, Health, Property and Casualty.
Fidelity Employee Compliance Reporting
With over 17 years of experience as a designated broker, Fidelity Employee Compliance Reporting (ECR) will work with your compliance team to help effectively and efficiently oversee your employees’ investment and trading activities. Our platform delivers comprehensive reporting that helps mitigate risk. Our dedicated team of technology, deployment, customer service, and operations professionals will work with you every step of the way to demonstrate our long‐term commitment to you and your employees' success. As one of the nation’s leading providers of financial services, Fidelity also can provide your employees access to a variety of investment, trading, and planning and guidance options to help meet their financial objectives.
FIRE Solutions is the leading provider of comprehensive training and compliance management solutions for the financial services community. Our services include registered rep. on-boarding, management and tracking systems; Firm Element, insurance, CFP and AML continuing education; securities exam preparation; on-demand annual compliance meetings; online forms and attestations; and gift and entertainment tracking.
Globanet is a leading developer and provider of archiving and eDiscovery solutions worldwide. Founded in 1996, the company is a pioneer in archive data migrations and intelligent information governance, and has developed a portfolio of software and services to help organizations manage data from creation to expiry. Globanet’s proprietary solutions include the Globanet Merge1 message capture platform and Globanet Migrate data migration software. A Symantec Platinum Partner with Master Specialization in Archiving and eDiscovery, its professional services team has extensive experience with industry-leading Enterprise Vault and Clearwell. Globanet’s broad range of services includes policy and solution design, installation and configuration, data migration, custom add-ons and project-based ediscovery consulting. Globanet is also a Microsoft Silver Application Development Partner.
Global Relay is the market leader in compliance messaging and message management, including archiving, audit, eDiscovery and supervision for the financial sector. Global Relay is the Message Archiving Vendor in FINRA's compliance resource provider program. Global Relay’s 17,500 customers include broker-dealers, hedge funds, investment advisors, private equity funds and public companies, as well as 22 of the top 25 global banks. Global Relay has strategic partnerships worldwide, including an exclusive global Partnership for Thomson Reuters Messaging.
Hearsay Social empowers global financial services teams to efficiently and successfully use social media to attract prospects, retain customers and grow business. The enterprise-ready solution helps agents and advisers quickly and easily move beyond yesterday’s relationship-building tactics and to get found and strengthen relationships through social media. Tens of thousands of financial services professionals worldwide use Hearsay Social every day to hear and respond to everything their customers and prospects are saying on top social networks, including Facebook, LinkedIn, Twitter and Google+. The Hearsay Social platform boosts adviser and agent productivity while ensuring help ensure brand integrity and compliance for even the most regulated industries.
For over 20 years, Hyland has helped financial institutions by providing real-world solutions to everyday business challenges. Hyland’s enterprise content management (ECM) solution, OnBase, is one of the most flexible and comprehensive ECM products on the market today. OnBase empowers users to grow their solutions as needs change and business evolves. It is tailored for departments, but comprehensive for the enterprise, designed to give you what you need today and evolve over time.
Lansare Corporation provides monitoring and surveillance solutions for annuities. Through a secure website tailored to your needs, Lansare delivers unprecedented access to alerts, intelligence, and detailed analysis on annuity transaction and financial advisor activity within your firm. Lansare supports compliance needs including sales practice monitoring, suitability analysis, sub-account activity monitoring, cancellations and exchanges, demographic analysis and more.
Law360 is a one-stop news source for legal news and analysis, covering major developments in litigation, legislation and transactions. With daily newsletters and real-time alerts of breaking news, Law360 delivers the intelligence you need to be an expert in your field and remain one step ahead of your competition. Visit our website to find out what thousands of readers at major law firms, Fortune 500 companies and key government agencies already know.
Over 850 financial services companies in more than 70 countries around the world turn to LIMRA first to help them build their businesses and improve their performance. As a trusted source of industry knowledge, we are committed to helping firms chart a clear course for the future, benchmark their performance, create new products, open new markets, expand distribution, increase productivity, comply with regulations and more.
DIVER Advisor is an information delivery and compliance solution for municipal bond time-of- trade disclosure and suitability requirements. Advisor improves customer satisfaction and protects your firm with a CUSIP-driven report that is email-ready. Advisor also offers account monitoring and credit note distribution to enhance firmwide efficiency. Our platform’s design and functionality is the result of collaboration with market participants and feedback from key regulators. Visit our website to learn more.
Mercer Consumer is the world leader in providing risk management and customized insurance solutions. We are consistently recognized as the leading provider of insurance solutions to the securities and financial services industries, and have been a FINRA® insurance program administrator for more than three decades. With our best-in-class practices, you’ll get an unmatched depth and breadth of services. Combined with exceptional customer service, market expertise, claims advocacy and competitive rates, you’ll receive a wealth of services unparalleled in the financial services market.
McDonald Information Service (MIS)
MIS offers you a one-stop solution for risk management, new account verification, 314a requirements and OFAC compliance. A leader in the industry, MIS clients represent retail, institutional, full-service and discount broker-dealers. An experienced team of professionals is on hand to assist you with your AML, OFAC, CIP, PEPs, enhanced due diligence, employee surveillance and background-checking needs. MIS provides you with the best protection and best value available. Please contact us for more details and pricing.
McGladrey is a leading provider of assurance, tax and consulting services focused on the middle market across the country and around the world. With more than 50 years of experience serving the financial services community, McGladrey professionals offer registration and compliance testing services to assist in meeting FINRA, SEC and CFTC obligations, while providing GIPS verification, product and technology due diligence and risk assessments. Experience the Power of Being Understood®
MobileGuard, the leading provider of compliance solutions for your mobile workforce, has pioneered the way by which organizations address the complexities of mobile communication compliance regulations. With its patented mobile message archiving and monitoring solutions, MobileGuard enables companies to comply with the government regulations and corporate policies by enforcing a high standard of communication integrity and thereby decreasing business risks.
National Society of Compliance Professionals (NSCP)
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the securities industry. NSCP is for compliance, by compliance – it is our mission to provide professional resources to compliance professionals through our unequaled network of peers, professional education, regulatory interaction and professional standards.
Nexgate provides cloud-based brand protection and compliance for enterprise social media accounts. Its patent-pending technology seamlessly integrates with the leading social media platforms and applications to find and audit brand-affiliated accounts, control connected applications, detect and remediate compliance risks, archive communications, and detect fraud and account hacking. Nexgate is based in San Francisco, California, and is used by some of the world’s largest financial services, pharmaceutical, Internet security, manufacturing, media and retail organizations to discover, audit and protect their social infrastructure.
NICE Actimize is the largest and broadest provider of financial crime, risk and compliance solutions for regional and global financial institutions, as well as government regulators. Consistently ranked as number one in the space, NICE Actimize experts apply innovative technology to protect institutions and safeguard consumers and investors assets by identifying financial crime, preventing fraud and providing regulatory compliance. The company provides real-time, cross-channel fraud prevention, anti-money laundering detection, and trading surveillance solutions that address such concerns as payment fraud, cyber-crime, sanctions monitoring, market abuse, customer due diligence and insider trading.
North American Professional Liability Insurance Agency (NAPLIA)
Established in 1998, NAPLIA is the leading independent insurance agency specializing in professional liability insurance products for financial services professionals. NAPLIA regularly presents at industry conferences and consults with the DOL on fiduciary issues. Specialty programs include high-deductible broker-dealer errors and omissions insurance, open MEP bonding, co-branded first party fiduciary, and difficult-to-place registered representative/RIA errors and omissions insurance.
NRS Compliance Solutions
Owned by Reed Elsevier, National Regulatory Service (NRS) is part of Accuity, the global standard for payment efficiency and compliance solutions. NRS is the US leader in compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. NRS has the practical expertise, proven capability and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions thorough three interrelated offerings—comprehensive education, best-in-class technology and expert consulting services—enabling our clients to meet their regulatory requirement and minimize risk.
Improve your firm’s ability to meet 17a-4 record-keeping compliance obligations with Patrina’s easy-to-use data archiving and electronic records management platform. Our advanced search technology speeds the location and retrieval of content generated from OMS systems, back- and middle-office applications, sales and marketing material, email and social media. For over 20 years, Patrina has provided compliant records archiving and workflow solutions to the financial services industry that save time and improve operational efficiency. Visit our website to schedule a free consultation today.
Pearson VUE delivers all FINRA qualification exams and Regulatory Element continuing education sessions at more than 300 test centers around the world. Visit our website to learn about our world-class test centers, easy- to-use appointment finder and online scheduling. Schedule your next exam at PearsonVUE.com/FINRA for a superior testing experience at a Pearson Professional Center.
Pinpoint Global Communications
Pinpoint Global is the recognized leader of SEC17a-4 compliance solutions. Pinpoint’s compliance portfolio includes modules such as outside business activities, ADV Part2B, disciplinary tracking, sales material submission and review, advisor account review, gifts and entertainment, annual questionnaire, branch office exams, annual compliance meetings and Firm Element training. All compliance modules are easy to use, and the Pinpoint system provides powerful reporting and analytics capabilities for manager and compliance personnel.
Prometric, a wholly owned subsidiary of ETS, is a trusted provider of technology-enabled testing and assessment. Its market-leading test development and delivery solutions allow clients to develop and launch global testing programs as well as accurately measure program results and data. Prometric reliably delivers and administers more than 10 million tests a year in 10,000 test centers in more than 160 countries.
Enhance your firm’s compliance program with mobile-ready accessibility, interactive student learning, real-time administrative reporting and a full range of easy-to-manage compliance solutions, brought to you by Quest CE. Our services include FINRA Firm Element training; branch audit management, registration and licensing, annual compliance meetings, annual compliance questionnaires, needs analysis surveys, annual disclosure tracking and insurance continuing education.
Red Oak Compliance
Red Oak, a leader in Advertising Review solutions for the financial services industry, is showcasing their AdMaster Compliance™ subscription software. Visit their website to learn how their new “Review Optimization” technology can assist your firm with the actual review of material. By leveraging Red Oak’s years of experience reviewing advertising for their consulting clients, “Review Optimization” improves the review function with an automated check for potential issues.
RegEd is the leading provider of compliance management and licensing and registration technology solutions to the financial services industry. Today, RegEd serves over 800 customers, including the top 100 financial services firms. Established in 1994 by former regulators, RegEd is a recognized industry authority that has established the high watermark for rule-based compliance automation for broker- dealers, investment advisers, insurance companies and their distributors. RegEd solutions deliver unparalleled operational efficiency and enable firms to cost-effectively comply and manage risk associated with state, FINRA and other financial services regulation. An investment in RegEd technology translates into extraordinary long-term value. Firms can cost-effectively build on their initial investment as their needs grow and evolve, maximizing the return and value for their compliance spend.
Regulatory Compliance, LLC
Full BD and RIA registration services. Specialists serving the ongoing compliance needs of broker-dealers and registered investment advisers, including registered rep. registrations, renewals, continuing education management; manuals, including supervisory procedures, anti-money laundering, business continuity and identity theft; office inspections, AML and 3012 testing, and mock regulatory exams; and FinOp and accounting services.
Renaissance Regulatory Services
Renaissance Regulatory Services provides comprehensive regulatory compliance consulting and support services to broker-dealers, investment advisers and other market participants. We specialize in start-up, compliance examinations and written supervisory procedures. Our services are customized to fit your firm’s operations. RRS provides the experience and insight to meet all your compliance needs. Our staff and partners consist of former regulators and compliance professionals who have extensive experience with SEC, FINRA, MSRB and state regulations.
Smarsh delivers cloud-based archiving solutions for the information-driven enterprise. Its centralized platform provides a unified compliance and e-discovery workflow across the entire range of digital communications, including email, public and enterprise social media, websites, instant messaging and mobile messaging. Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements.
Socialware provides industry-leading software and services for regulated industries to securely and compliantly market through social media, and to generate business through relationships with customers and prospects on Facebook, LinkedIn and Twitter. Socialware is a trusted technology partner to more than 170 of the leading firms in the U.S.
Solomon Exam Prep
Solomon Exam Prep has helped thousands of financial professionals pass their Series 6, 7, 63, 65, 66, 24, 26, 51, 52, 53, 55, 62, 79, 82 and 99 licensing exams. Solomon’s study solutions include online and print exam study guides, online exam simulators, audiobooks and on-demand classes to ensure your representatives pass the first time. Raise your firm’s pass rates and lower your costs with Solomon!
StarCompliance is a leading provider of compliance and regulatory software for the financial services industry. We understand the ever-changing regulatory and political issues that affect your day-to-day operations and we deliver solutions to mitigate conflicts of interest. Our software is used by employees at investment advisers and broker-dealers, hedge funds, insurance companies and private equity firms around the world. StarCompliance software solutions are scalable and configurable to meet the specific needs of large, diversified, multinational investment firms.
SunGard's Protegent is a suite of solutions that help automate financial institutions’ compliance processes. It helps give financial institutions transparency into their data while helping them to enforce and document their compliance policies and procedures. Protegent’s solutions cover social media review, personal trading oversight, market abuse, Reg NMS, Order Audit Trail System (OATS), and transaction supervision and surveillance review.
Thomson Reuters Accelus
Thomson Reuters Accelus brings together market-leading solutions for enterprise Governance, Risk and Compliance (GRC) management, enterprise risk management, policy management, audit management, global regulatory intelligence, financial crime, anti-bribery and corruption, supply chain risk, enhanced due diligence, training and e-learning, and Board of Director and disclosure services. With capabilities for client on-boarding, routine risk screening, enhanced due diligence and transaction monitoring, we help our customers identify hidden risks hiding in their business relationships and extended partner networks, and offer customized options tailored to meet their specific needs.
Two Roads Software
Two Roads Software is a data science pioneer focusing on intelligently managing unstructured data such as documents, email and social communication. Our debut product OBSERV is an intelligent compliance supervision solution that transforms the way compliance officers monitor communications within their firms. OBSERV provides visibility into areas of risk in real time with extremely high accuracy.
Wiley is a global provider of content and content-enabled workflow solutions in areas of scientific, technical, medical and scholarly research; professional development; and education.