Broker-dealers
Managed IT Services for Broker-Dealers
IT management, cybersecurity and exam-ready documentation for broker-dealers, branch offices and registered representatives, from a SOC 2 compliant provider that has specialized in financial firms since 2010.
FINRA and SEC focused
SOC 2 compliant provider
24/7 support plans
US-based engineers
Broker-dealers
IT support built for FINRA and SEC exams
Broker-dealers run on technology that regulators look at closely. Client records, order and trading platforms, email and text messages, and the branch and home offices of your registered representatives all have to be secure, available and documented. FinFortify Inc. manages and secures the technology around your clearing firm and trading platforms, so your team can focus on clients and markets.
Our managed IT services for financial firms combine help desk support, proactive monitoring and patching, managed cybersecurity and the documentation your compliance team needs when FINRA or the SEC asks how you protect customer information.
How we help
How we support broker-dealers
Branch and remote representatives
Secure laptops, remote access and help desk support for your main office, branch offices and registered representatives working from home.
Email security
Email filtering, impersonation protection and Microsoft 365 settings that keep business communications in the systems your firm archives and supervises.
Identity and access control
Multi-factor authentication, conditional access and prompt access removal when a representative joins, moves or leaves the firm.
Records and archiving support
We work with your archiving provider so business email is captured, and we document how your records systems are protected.
Backup and business continuity
Tested backups and recovery steps that support your FINRA Rule 4370 business continuity plan. See backup and disaster recovery.
Vendor and platform coordination
We work with your clearing firm, trading platforms and other technology vendors to resolve issues and keep a record of changes.
Compliance
The rules your IT has to support
SEC Regulation S-P
The amended Regulation S-P requires broker-dealers to keep a written incident response program, notify affected customers within 30 days of becoming aware that their sensitive information was, or is reasonably likely to have been, accessed or used without authorization, and oversee service providers, which must report a breach affecting your customers within 72 hours. See our Regulation S-P compliance checklist.
SEC Rule 17a-4 and FINRA Rule 4511
Broker-dealers must preserve required books and records, including business communications, for the periods the rules set, in an electronic recordkeeping system that meets Rule 17a-4. Text messages and chat apps used for business count too. See our email archiving requirements guide.
FINRA Rules 4370 and 3110
FINRA Rule 4370 requires a written business continuity plan that covers data backup and recovery, and Rule 3110 requires a system to supervise your registered representatives, including their communications. See our FINRA business continuity plan guide.
Vendors and cybersecurity reviews
FINRA expects firms to manage the risks of outsourcing to vendors (Regulatory Notice 21-29), and exams routinely ask about access controls, data loss prevention, branch office security and incident response. Our IT compliance services keep that evidence ready.
FinFortify provides IT and cybersecurity services. Your chief compliance officer and counsel remain responsible for your compliance program.
Getting started
How switching to FinFortify works
Step 1
Consultation
We learn how your firm works, which systems your clearing firm and vendors provide and what is not working with your IT today.
Step 2
Assessment
We review your devices, network, Microsoft 365, backups and security settings and agree on priorities with you.
Step 3
Onboarding
We document your environment, deploy our monitoring and security tools and close the most urgent gaps first.
Step 4
Ongoing management
Your team calls one number for help while we keep your systems patched, monitored, backed up and secure.
Why broker-dealers choose FinFortify
Financial industry focus
Since 2010 we have supported hundreds of financial firms, so we already know the regulators, vendors and deadlines your team works with.
Security and evidence built in
Multi-factor authentication, endpoint detection and response, email security and patching are part of every plan, and the work is documented for exams.
US-based engineers
In-house staff answer your calls, and 24/7 support plans cover early mornings, late nights and weekends.
FAQ
IT for Broker-Dealers: common questions
Can you work with our clearing firm and trading platforms?
Yes. Your clearing firm and platform vendors run their systems, and we manage the network, devices, Microsoft 365 and security around them, coordinating with each vendor when an issue involves both.
Do you help with FINRA and SEC exams?
We put technical safeguards such as multi-factor authentication, encryption, monitoring, patching and tested backups in place and help you assemble the evidence exam requests ask for. Your compliance team stays responsible for your overall program.
Can you support representatives in branch and home offices?
Yes. We secure and support laptops, remote access and Microsoft 365 for representatives wherever they work, with remote help and on-site support when hands-on work is needed.
Do you archive email and text messages?
We work with the archiving provider your firm chooses and set up Microsoft 365 so business email is captured. Keeping business messages on approved, archived channels is part of the security baseline we help you enforce.
Do you provide 24/7 IT support?
Yes. We offer 24/7 support plans, so your team can reach us whenever a problem happens.
Managed IT built for broker-dealers
Tell us about your firm and we will show you how FinFortify can run, secure and support your technology.
