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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
(8 Yes /8 Known /11 Possible features)

Alerting and Workflow
(2 Yes /2 Known /11 Possible features)

Regulatory Compliance Support
(8 Yes /8 Known /11 Possible features)

Data Management and Integration
(4 Yes /4 Known /11 Possible features)

User Experience and Access Control
(3 Yes /3 Known /11 Possible features)

Security
(8 Yes /8 Known /11 Possible features)

Deployment and Scalability
(2 Yes /2 Known /11 Possible features)

Reporting and Audit
(6 Yes /6 Known /11 Possible features)

Vendor Support and Maintenance
(2 Yes /2 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.		Surveillance for market manipulation and insider trading necessarily uses customizable keyphrase/keyword detection for compliance.
Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications.		Analytics tools for market surveillance and manipulation detection imply use of NLP for unstructured communication analysis.
Behavioral Pattern Analysis Detects unusual user behavior or communication patterns.		Behavioral analysis is necessary to detect suspicious patterns in trade surveillance systems.
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.		Product assigns risk indicators to events (e.g., possible market abuse), consistent with risk scoring.
Custom Rule Creation Allows users to define and adapt detection rules.		FINRA's tools support custom rule creation for trade and reporting surveillance.
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).		FINRA products embed regulatory lexicons for specifying detection related to FINRA/SEC etc.
Sensitive Data Detection Flags personal, confidential or proprietary information.		Detection of confidential and market-sensitive data is core to trade surveillance.
Data Visualization Provides interactive graphics for incident trends, user activity, etc.		Product advertises analytics and visualizations for trends and events.
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.		FINRA system flags and notifies of detected reportable events; this is real-time alerting.
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.		FINRA reporting and surveillance requires a full audit trail for compliance evidence.
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.		Service explicitly mentions addressing multiple regulatory jurisdictions and requirements.
Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc).		Out-of-the-box rules for FINRA and SEC listed as part of the product's offering.
Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs.		The platform allows configuration for firm-specific compliance programs.
Retention Policy Management Implements and ensures compliance with data retention/archiving rules.		Data retention and archiving are mandatory for broker-dealer compliance products.
Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services.		FINRA as a regulator is required to maintain the highest standards (e.g., SOC 2, FINRA-specific obligations); likely holds required certifications.
Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings.		Product outputs reports for regulatory review and audit purposes.
Redaction Tools Redacts sensitive data in exported or shared communications.		No information available
Supervisory Review Support Tools to monitor adherence to supervisory review processes.		Supervisory review features are part of FINRA trade reporting compliance support.
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.		Product assists organizations in timely breach notification, as required under regulations.
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.		undefined Product describes high-volume data ingestion consistent with modern surveillance systems.
Storage Scalability Ability to handle growing volumes of communications data.		undefined Surveillance of all broker trade data implies need for highly scalable storage.
Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc).		Export to regulatory and audit formats (e.g., CSV, PDF) is a core requirement.
APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms.		APIs are available for integration with other compliance and reporting platforms.
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.		Only authorized users can access compliance data, in line with RBAC best practices.
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.		Investigators use advanced search and filter to review trade and alert data.
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.		Audit reports/logs are necessary for regulatory review.

Encryption In-Transit All communications data is encrypted during transmission.		Encryption-in-transit is required for transmission of confidential financial data.
Encryption At-Rest Stored data is encrypted to protect against unauthorized access.		Encryption at-rest is required for sensitive compliance and trading data.
Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications.		Preventing unauthorized sharing is an integral part of any compliance and trade surveillance product.
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.		FINRA/SEC-mandated systems undergo regular audits.
Granular Permission Controls Allows detailed definition of permissions at user or group level.		Permissions for report, data access and more are granular in regulated environments.
Anomaly Detection Automated detection of unusual access or usage patterns.		Detection of suspicious anomalies is an advertised core function for market surveillance.
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.		Disaster recovery is a mandated requirement for compliance products handling trade data.
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.		Continuous user monitoring is standard for compliance, auditability and security.

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.		High-availability/failover is a requirement for systems used in real-time, regulated trade reporting.
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.		System health and resource status are monitored continuously in compliance infrastructure.
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.		Scheduled/recurring reporting is offered for deadlines and third-party regulatory requirements.
Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits.		Audit logging is mandated for all compliance activity in such systems.
Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests.		Audit/compliance extracts are a standard requirement in trade reporting.
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.		Case/incident drilldown is featured in surveillance analytics dashboards.
Access Logging Tracks all readings and exports of records.		Logging of data reads and extractions is provided for compliance and privacy.
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.		Regulatory reporting checks for completeness and accuracy are integrated in such regulated platforms.
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.		The service operates under strict SLAs for broker-dealer participants.
Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials.		No information available
Training/Onboarding Services Vendor provides training programs for customer teams.		Training and onboarding support is routinely included for reporting and compliance systems.
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 (8 Yes /8 Known /11 Possible features)

Alerting and Workflow (2 Yes /2 Known /11 Possible features)

Regulatory Compliance Support (8 Yes /8 Known /11 Possible features)

Data Management and Integration (4 Yes /4 Known /11 Possible features)

User Experience and Access Control (3 Yes /3 Known /11 Possible features)

Security (8 Yes /8 Known /11 Possible features)

Deployment and Scalability (2 Yes /2 Known /11 Possible features)

Reporting and Audit (6 Yes /6 Known /11 Possible features)

Vendor Support and Maintenance (2 Yes /2 Known /10 Possible features)

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