ComplianceCare for FINRA Document Compliance

Your project teams have time-consuming hurdles to overcome. Successful project management is difficult when your team members are:

FINRA Compliance is an ongoing challenge — rules, forms and requirements constantly change, Registered Representatives come and go, compliance staff budgets are tight, and you do not have a dedicated IT staff ready to support your team.

To help you manage compliance documentation and FINRA requirements and remain compliant with rapidly changing FINRA rules and regulations, Securities Compliance Advisors, a leading firm specializing in compliance consulting to the financial services industry, has developed ComplianceCare™ on SpringCM's platform.

The document control and management module of ComplianceCare™ is a web-based application designed to assist broker-dealer firms in the daily, monthly and annual challenges of:

  • Maintaining a repository of compliance related documents and signed forms to meet firm and FINRA requirements;
  • Managing both physical and electronic documents and forms in a single document repository using standardized procedures;
  • Creating a process that enables personnel and compliance staff to document and track compliance with firm policies and procedures including acknowledgements and disclosures (e.g., gift reporting, outside business activities, charitable and political contributions)

Powered by SpringCM's industry leading document management and archiving platform, ComplianceCare™ will streamline and improve your internal processes and reduce your costs of FINRA and SEC compliance, thereby substantially easing the burden on the Chief Compliance Officer and the firm's compliance staff and reducing the time spent by Registered Representatives on filling out forms, attestations and acknowledgments.

ComplianceCare™ will allow you to streamline your firm's FINRA compliance document processes, converting what is often an inefficient paper based system into a searchable electronic document repository, which may be accessed from any office via the Internet. As a web based solution, ComplianceCare™ requires no hardware to buy, no software to install and can be up and running in a very short time. It is easy to use and affordable for broker-dealers of all sizes.

With ComplianceCare, you will also be able to:

  • Maintain Written Supervisory and Compliance Procedures and company policies and procedures and marketing material in an organized library of data for easy access and reference by your Registered Representatives and compliance staff.
  • Store and organize key FINRA compliance documents in searchable electronic folders organized by Registered Representative name or CRD #, including pre-hire forms, new hire forms, periodic or annual forms or requests for information and marketing material approval forms. All of these documents will be maintained with full security and audit trails. Even paper forms and faxes may be easily and automatically captured.

Automating FINRA compliance tasks is easier — and more affordable — with ComplianceCare™.


  • Streamline and document approval processes between Registered Representatives and compliance personnel, including requests to participate in outside investments or to provide gifts, business entertainment, charitable or political contributions;
  • Improve your document management processes by organizing key FINRA compliance forms and documents by Registered Representative name, CRD # or other identifier;
  • Ensure compliance personnel have the documents and tools they need to prepare for FINRA and SEC regulatory examinations, internal reviews and comply with Supervisory Controls policies and procedures;
  • Build an easily accessible compliance library that Registered Representatives can access at any time and the compliance department can update in real time, based on new FINRA regulations, interpretations and guidance; and
  • Receive regular updates on new and amended FINRA rules and interpretations.
  • Store the most current versions of Written Supervisory and Compliance Procedures, company policies and procedures and forms required by FINRA and other regulatory bodies;
  • Maintain a documented history of Written Supervisory and Compliance Procedures and amendments, AML Programs, Supervisory Control Reviews, Branch Audits, Continuing Education Plans and Business Continuity Plans per FINRA and SEC rules and regulations;
  • Route communications between Registered Representatives, principals, branch office managers and compliance personnel;
  • Submit FINRA compliance-related information by e-mail and facsimile from branch locations to one centrally located and immediately accessible location; and
  • Provide third parties (including compliance consultants and FINRA and SEC examiners) immediate access to compliance documents.
  • A single Compliance Document Library, including:
    • Your firm's Written Supervisory Procedures and amendments
    • Model BCP and testing module;
    • Compliance calendars and checklists;
    • Annual disclosure and acknowledgment forms;
    • CE Plan Templates;
    • WebCRD Queue Report forms;
    • Sample Privacy Notices;
    • AML Notices and disclosures;
    • New-hire packages;
    • FINRA Rule 3012/3013 Certifications and Report Templates; and
    • Blank FINRA forms (e.g., BD, U-4, U-5) and state registration fee schedules.
  • Routing and approval of documents within the home office and between branch offices and the home office;
  • Expiration certifications on documents that automatically notify Registered Representatives and principals of impending key FINRA and SEC compliance deadlines;
  • Capturing and archiving of compliance-related documents with the SpringCM system between Registered Representatives and principals in both the home and branch offices; and
  • The ability to share or exchange with outside compliance consultants and attorneys for assistance with audits, procedures and your firm's overall FINRA and SEC compliance program.

ComplianceCare™ powered by SpringCM is accessed via the Internet and there is no hardware to buy and maintain or software to install. Document capture methods, such as inbound fax, inbound email and scanning, are seamlessly integrated with the web software, as is work flow, routing and approval, and outbound fax, email and electronic signature technologies.

"For the past few years SpringCM has assisted us in managing the multitude of documents that we create for our clients. It was a natural evolution that we would partner with SpringCM to integrate our FINRA and SEC compliance expertise with their technology platform"

— Cheryl K. Young, President, Securities Compliance Advisors, LLC.

Securities Compliance Advisors, LLC