Trade Reporting and Surveillance from FINRA

This service supports compliance with trade reporting requirements, conducts surveillance to detect insider trading and market manipulation, and provides analytics tools for firms to enhance their reporting capabilities.

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Product analysis by function

Electronic Communications Surveillance for Compliance

Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
More Electronic Communications Surveillance More Compliance ...

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Detection and Analytics
(0 Yes /0 Known /11 Possible features)

Alerting and Workflow
(0 Yes /0 Known /11 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /11 Possible features)

Data Management and Integration
(0 Yes /0 Known /11 Possible features)

User Experience and Access Control
(0 Yes /0 Known /11 Possible features)

Security
(0 Yes /0 Known /11 Possible features)

Deployment and Scalability
(0 Yes /0 Known /11 Possible features)

Reporting and Audit
(0 Yes /0 Known /11 Possible features)

Vendor Support and Maintenance
(0 Yes /0 Known /10 Possible features)

Cost Transparency and Commercials
(0 Yes /0 Known /10 Possible features)

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Email Monitoring Ability to capture and analyze email correspondence for compliance risks.		No information available
Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance.		No information available
Voice Surveillance Monitors recorded voice calls for keywords or risk indicators.		No information available
Social Media Surveillance Captures relevant external and internal social media posts.		No information available
Mobile Device Coverage Ability to monitor communications across mobile devices.		No information available
Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms.		No information available
Application Support Number of distinct communication applications supported for monitoring.		No information available
Real-time Monitoring Capability Enables live or near-real-time capture and analysis of communication data.		No information available
Historic Data Import Supports ingestion of historic communication data for analysis.		No information available
Multilingual Coverage Ability to monitor and analyze communications in multiple languages.		No information available
Attachment Analysis Analyzes file attachments for potential violations.		No information available
Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels.		No information available

Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content.		No information available
Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications.		No information available
Behavioral Pattern Analysis Detects unusual user behavior or communication patterns.		No information available
Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives.		No information available
Risk Scoring Assigns risk scores to incidents/messages for prioritization.		No information available
Custom Rule Creation Allows users to define and adapt detection rules.		No information available
False Positive Reduction Rate Capability of the system to decrease the rate of false positives.		No information available
Regulatory Lexicon Library Library of language and keywords for specific regulations (e.g., FINRA, SEC).		No information available
Sensitive Data Detection Flags personal, confidential or proprietary information.		No information available
Data Visualization Provides interactive graphics for incident trends, user activity, etc.		No information available
Frequency of Analytics Updates How often analytics algorithms/models are updated to adapt to new threats.		No information available

Real-time Alerting Immediate flagging and notification of detected risks or violations.		No information available
Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts.		No information available
Customizable Workflow Supports tailoring of review/investigation workflow steps.		No information available
Case Management Integration Enables creation and tracking of cases linked to alerts.		No information available
Audit Trail Full logging of actions and changes for regulatory evidence.		No information available
Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules.		No information available
Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts.		No information available
Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases.		No information available
Reviewer Collaboration Tools Enables teams to work together on case investigations.		No information available
Notifications & Reminders Automated email or in-app reminders for outstanding cases.		No information available
SLA Management Monitors and enforces service-level agreement timelines for investigations.		No information available

Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions.		No information available
Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc).		No information available
Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs.		No information available
Retention Policy Management Implements and ensures compliance with data retention/archiving rules.		No information available
Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services.		No information available
Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings.		No information available
Redaction Tools Redacts sensitive data in exported or shared communications.		No information available
Supervisory Review Support Tools to monitor adherence to supervisory review processes.		No information available
Legal Hold Management Supports the ability to preserve data for future litigation as required.		No information available
Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines.		No information available
Retention Period Length Maximum length for which data can be retained for compliance.		No information available

Data Ingestion Speed Rate at which new communication records can be ingested and indexed.		No information available
Storage Scalability Ability to handle growing volumes of communications data.		No information available
Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc).		No information available
APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms.		No information available
SIEM Integration Connects to Security Information and Event Management systems.		No information available
Third-party Data Source Integration Connects and correlates data from external vendors or sources.		No information available
Custom Data Connectors Enables creation of connectors for proprietary sources.		No information available
Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.).		No information available
Search Performance Time to retrieve results for complex queries over stored communications.		No information available
Data De-duplication Removes duplicate messages to conserve storage and reduce noise.		No information available
Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics.		No information available

Role-based Access Control (RBAC) Allows granular assignment of permissions based on role.		No information available
Single Sign-On (SSO) Supports integration with enterprise SSO solutions.		No information available
Multi-factor Authentication (MFA) Requires multi-factor authentication for access.		No information available
User Interface Customization Enables customization of UI elements and workflows.		No information available
Search Functionality Advanced and intuitive search/filtering for investigators.		No information available
Bulk Actions Ability to perform actions on multiple records/cases simultaneously.		No information available
Localization User interface available in multiple languages.		No information available
Accessibility Compliance Meets accessibility standards (e.g., WCAG, ADA) for users with disabilities.		No information available
Number of Concurrent Users Supported Maximum number of users supported simultaneously without performance degradation.		No information available
Configurable User Roles System allows administrators to define custom roles.		No information available
Audit Access Reporting Logs and reports on user activity and access history.		No information available

Encryption In-Transit All communications data is encrypted during transmission.		No information available
Encryption At-Rest Stored data is encrypted to protect against unauthorized access.		No information available
Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications.		No information available
Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity.		No information available
Regular Security Audits Periodic third-party or internal security assessments performed.		No information available
Granular Permission Controls Allows detailed definition of permissions at user or group level.		No information available
Anomaly Detection Automated detection of unusual access or usage patterns.		No information available
IP Whitelisting/Blacklisting Restricts or allows system access based on IP addresses.		No information available
Disaster Recovery/Backup Systems Ensures protection and recovery of data in case of system failure.		No information available
Security Patch Frequency Regular cadence for applying security patches and updates.		No information available
User Activity Monitoring Continuously tracks and logs all significant user actions.		No information available

Cloud Deployment Supports hosting in public or private cloud environments.		No information available
On-premises Deployment Allows fully onsite installation and management.		No information available
Hybrid Deployment Supports mixed cloud and on-premises configurations.		No information available
Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users.		No information available
High Availability/Failover Built-in redundancy to minimize downtime and data loss.		No information available
Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform.		No information available
Zero Downtime Upgrades Perform updates and upgrades without service interruption.		No information available
Deployment Time Typical time to deploy solution from contract signing.		No information available
System Uptime SLA Guaranteed system availability as specified in SLA.		No information available
Resource Monitoring Continuous monitoring of system resources and health.		No information available
Concurrent Process Handling Maximum number of concurrent data ingestion, processing or analytics tasks.		No information available

Custom Report Builder Allows creation of user-defined reports on all surveillance data.		No information available
Scheduled Reporting Supports automated, recurring report generation and delivery.		No information available
Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits.		No information available
Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests.		No information available
Export Formats Supported Number of different formats available for data export (PDF, CSV, etc).		No information available
Drill-down Analytics Ability to explore details of flagged incidents/cases/reports.		No information available
Access Logging Tracks all readings and exports of records.		No information available
Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc).		No information available
Regulatory Reconciliation Verifies reporting completeness and accuracy against regulatory requirements.		No information available
Alert Disposition Metrics Tracks status/outcome of all alerts for performance measurement.		No information available
Reviewer Performance Reporting Reports on productivity and consistency of review teams.		No information available

24/7 Customer Support Availability of round-the-clock technical assistance.		No information available
Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution.		No information available
Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials.		No information available
Training/Onboarding Services Vendor provides training programs for customer teams.		No information available
Dedicated Account Manager Assignment of an account manager for ongoing relationship support.		No information available
Patch/Update Notification Alerts users to upcoming or recent system changes.		No information available
Named User Support Offers support for specific, named contacts at customer firms.		No information available
Bug Fix Response Time Average time to acknowledge and resolve critical bugs.		No information available
Customization Services Vendor can develop custom features according to client needs.		No information available
Community/Forum Access Customers can share best practices and ask questions in a user community.		No information available

Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all.		No information available
Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored.		No information available
Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees.		No information available
Transparent Billing Billing statements break down all charges by feature/use.		No information available
Trial or Pilot Options Offers low-risk pilots or trials before purchase.		No information available
Support Included in Base Price Customer support costs are included in base contract.		No information available
Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features.		No information available
Contract Duration Flexibility Variety of contract lengths available without penalties.		No information available
Discounts for Multi-year Commitments Offers reduced rates for longer agreements.		No information available
Predictable Annual Increases Stated percentage or cap on annual rate increases.		No information available

Trade Reporting and Surveillance from FINRA

Product analysis by function

Electronic Communications Surveillance for Compliance

Communication Channel Coverage (0 Yes /0 Known /12 Possible features)

Detection and Analytics (0 Yes /0 Known /11 Possible features)

Alerting and Workflow (0 Yes /0 Known /11 Possible features)

Regulatory Compliance Support (0 Yes /0 Known /11 Possible features)

Data Management and Integration (0 Yes /0 Known /11 Possible features)

User Experience and Access Control (0 Yes /0 Known /11 Possible features)

Security (0 Yes /0 Known /11 Possible features)

Deployment and Scalability (0 Yes /0 Known /11 Possible features)

Reporting and Audit (0 Yes /0 Known /11 Possible features)

Vendor Support and Maintenance (0 Yes /0 Known /10 Possible features)

Cost Transparency and Commercials (0 Yes /0 Known /10 Possible features)