For Broker-Dealers
Supervise Every Trade
Without Manually Reviewing Every Trade
Four Eyes Financial manages the entire client compliance lifecycle for FINRA broker-dealers, from digital account opening and pre-trade suitability to Reg BI records at the point of sale, Rule 3110 trade supervision, casework and FINRA continuing education, so advisors spend their time with clients and every decision lands in one exam-ready record.
What Changes
Every Trade Screened
Only Exceptions Reviewed
Accounts opened digitally
Clients open cash, margin and IRA accounts online, with the investment profile captured and every field validated through Digital Onboarding.
Reg BI on record
Product Research & Point of Sale records the client’s profile, the reasonable alternatives considered and the advisor’s attestation.
Only the exceptions that matter
Risk7 screens every trade against 135+ exception types mapped to FINRA and SEC obligations, with thresholds set to your WSPs.
Cases closed with a rationale
Case Management routes exceptions to reviewers with business-day deadlines, secondary approval and a written closing rationale.
Value for Every Role
Tailored Value Across
Your Broker-Dealer
For Advisors
Open cash, margin and IRA accounts online, with clients e-signing as part of the flowCheck a proposed trade against the client’s investment profile before the orderDocument Reg BI alternatives and attest as part of the workKeep FINRA CE deadlines in view
For Compliance and Supervision
Unified Risk7 queues: review trade exceptions and focus solely on what requires human judgmentAlert parameters set to your WSPs, kept separate from regulatory requirementsEvery Reg BI recommendation reviewable, with alternatives and attestationEvery review logs the reviewer’s identity and timestamp
For Operations
New accounts arrive in good order, validated before submissionBooks of record ingested dailyCases routed with business-day deadlinesCE submissions reviewed and tracked in one place
Before and After
From Blotters and Spreadsheets
to One Exam-Ready Record
Today
With Four Eyes
New account forms re-keyed and chased for signatures
Accounts opened online, e-signed and validated before submission
Reg BI rationale scattered across notes and email
Alternatives considered and advisor attestation in one record with Product Research & Point of Sale
Suitability checked after the trade
Advisors check proposals against the client’s investment profile in Pre-Trade Analyzer before placing the order
Blotters reviewed line by line
Risk7 screens every trade and surfaces only the exceptions that need human judgment
Exceptions tracked in email and spreadsheets
Cases with business-day deadlines, secondary approval and a written rationale in Case Management
FINRA CE deadlines chased by email
Regulatory Element deadlines and credits tracked in CE Manager
Regulatory Map
Mapped to FINRA
and SEC Obligations
Obligation
How Four Eyes Helps
Know your customer (Rule 2090)
Each customer’s essential facts and investment profile are captured at account opening, with every field validated before submission.
Regulation Best Interest
The client’s profile, the reasonable alternatives considered and the advisor’s attestation are recorded at the point of sale, supporting the care obligation.
Suitability (Rule 2111)
Advisors check proposals against the client’s investment profile, concentration limits and your suitability rules in Pre-Trade Analyzer before placing the order.
Supervision (Rule 3110)
Risk7 screens every trade against exception types mapped to FINRA and SEC obligations and your WSPs, and Case Management records each review and decision.
Continuing education (Rule 1240)
Regulatory Element deadlines and credits are tracked, with supervisor review and CIRO mapping for advisors registered in both the US and Canada.
FINRA exam readiness
Every review and decision logs the reviewer’s identity and timestamp.
Built for Regulated Firms
Single-Tenant and SOC 2 Type II Compliant
Every firm runs on its own instance with unique encryption keys, with SOC 2 Type II controls independently audited by Aprio LLP, headquartered in Atlanta, Georgia.
Frequently Asked Questions
Compliance Lifecycle Platform for Broker-Dealers
What is compliance workflow software for broker-dealers?
Software that manages a broker-dealer’s client compliance lifecycle in one place. For FINRA broker-dealers, including dually registered firms, Four Eyes Financial covers digital account opening, Regulation Best Interest records at the point of sale, pre-trade suitability, Rule 3110 trade surveillance, supervisory casework and FINRA continuing education on one connected data layer.
Can clients open accounts online?
Yes. Digital Onboarding lets clients open cash, margin and IRA accounts online, with the investment profile captured, e-signature and every field validated before the account is submitted for approval.
Which FINRA and SEC obligations does it cover?
Know your customer (FINRA Rule 2090): each customer’s essential facts and investment profile are captured at account opening. Regulation Best Interest: the reasonable alternatives considered and the advisor’s attestation are recorded at the point of sale. Suitability (FINRA Rule 2111): advisors check proposals against the client’s investment profile in Pre-Trade Analyzer before placing the order. Supervision (Rule 3110): Risk7 screens every trade against exception types mapped to FINRA and SEC obligations, and Case Management records each review. Continuing education (FINRA Rule 1240): Regulatory Element deadlines and credits are tracked. FINRA exam readiness: every review and decision logs the reviewer’s identity and timestamp.
How does Four Eyes support FINRA Rule 3110?
By documenting supervisory review. Risk7 surfaces exceptions mapped to FINRA and SEC obligations, and Case Management records who reviewed each alert, the investigation, the decision and the written rationale, helping firms evidence supervisory review under FINRA Rule 3110.
How does it support Regulation Best Interest?
By recording the care obligation at the point of sale. Advisors document the client’s profile, the reasonable range of alternatives considered and their attestation that the recommendation puts the client’s interest first, supporting the care obligation under Regulation Best Interest.
Can advisors check suitability before placing a trade?
Yes. Advisors use Pre-Trade Analyzer to model changes and check a proposed trade or portfolio against the client’s investment profile, risk tolerance and concentration limits before placing the order.
Can we encode our written supervisory procedures?
Yes. Alert parameters can be set to match your firm’s risk appetite and WSPs, and firm-set thresholds are kept separate from regulatory requirements, so it’s clear which is which.
Does Four Eyes support dually registered firms?
Yes. The platform recognizes which capacity applies to each recommendation and account, broker-dealer under Regulation Best Interest and FINRA rules, or investment adviser under the Advisers Act fiduciary duty, so reviews, records and surveillance thresholds follow the right rules. Thresholds can also be set by line of business, such as brokerage and advisory.
How is FINRA continuing education tracked?
CE Manager tracks each advisor’s Regulatory Element deadline and credits, governs supervisor review of submissions and maps CIRO credits for advisors registered in both the US and Canada.
How is client data protected?
Every firm runs on its own single-tenant instance with unique encryption keys, hosted in the United States, with SOC 2 Type II controls independently audited by Aprio LLP, headquartered in Atlanta, Georgia.
Built for Broker-Dealers
See Four Eyes for Your Broker-Dealer
Book a walkthrough built around your books of record, written supervisory procedures and FINRA obligations.