Announcing the first AI harness for securities compliance

GreenboardGo 2.0

The first AI harness built for SEC and FINRA compliance

GreenboardGo 2.0 runs across the whole Greenboard platform, so compliance teams can ask, configure and automate any part of their program from one place, with every step written to a WORM-based, 17a-4 compliant record. It also works where teams do: in Slack, Teams, Claude and ChatGPT.

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Broker-dealer compliance software

Broker-dealer compliance software for FINRA-registered firms with layered supervisory structures and 17a-4 obligations.

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Overview

Broker-dealer compliance software from Greenboard gives your firm a single AI-powered compliance operating system for archiving, marketing, trading, and employee oversight. It's broker-dealer software built for compliance teams of every size, from a small broker-dealer to layered supervisory structures, with 17a-4-compliant omnichannel archiving, pre-review against FINRA Rules 2210–2215, and automated broker feeds for employee trading.

  1. 01

    Omnichannel WORM archiving

    Capture email, SMS, WhatsApp, LinkedIn, Teams, and more in immutable storage that satisfies SEC 17a-4.

  2. 02

    Advertising rule engine

    A marketing review platform for broker-dealers: pre-review videos, social posts, and PDFs against Rules 2210–2215 with automated disclosure prompts.

  3. 03

    All-in-one compliance OS

    Retire point solutions and run archiving, marketing, trading, and employee oversight on one AI-powered platform built for broker-dealers.

  4. 04

    Automated vendor diligence

    AI gathers SOC 2s, sanctions data, and breach history, then scores vendor risk in a single report.

  5. 05

    Seamless broker feeds

    Connect brokerage accounts instantly via CFPB 1033 APIs to eliminate manual statement uploads and streamline monitoring.

  6. 06

    Future-proof architecture

    Continuous platform updates keep you ahead of FINRA rules, without any disruptive migrations.

What we hear from broker-dealer compliance teams

From one-person compliance departments to large supervisory teams, with 17a-4 obligations either way.

  • Switching archives can’t break recordkeeping

    Moving off a legacy archive means migrating history and filing a new third-party undertaking. Teams want that handled for them, not run as a project.

  • Supervision needs structure

    Reviews have to reach the right principal, with deadlines and an audit trail behind every decision.

  • Dual registrants want one process

    Reps registered with both the broker-dealer and the RIA shouldn’t have to report the same thing twice.

  • New reps arrive in waves

    Onboarding means accounts, attestations, and channel connections for many people at once.

In practice

How teams like yours use Greenboard

01

Books and records built for 17a-4

Communications are stored in WORM format and are 17a-4 compliant, with history migrated from your previous archive and the third-party undertaking provided for your FINRA filing.

02

Supervision routed to the right principal

Groups, roles, and saved review queues send each review to the person who owns it, with information barriers between teams and every decision recorded.

03

Communications approvals with a trail

Marketing and correspondence move through staged approvals, with comments on the piece, e-signed approvals, and reports ready for an exam.

04

Onboarding at scale

Activate reps in bulk, send onboarding attestations automatically, and see who is outstanding at a glance.

Other firm types

FAQs

Frequently asked questions

What software helps with broker-dealer compliance?

Broker-dealer compliance software covers books and records, supervision, communications approvals, and employee trading. Greenboard runs them on one platform: 17a-4 compliant WORM archiving, review queues routed to the right principal, marketing review against FINRA Rules 2210–2215, and automated broker feeds.

Which compliance tools does a small broker-dealer need?

The same core tools as a large one: 17a-4 archiving for email, text, and social, supervision with an audit trail, and marketing approvals. Greenboard puts them on one platform, so a one-person compliance department isn't managing separate vendors.

How does a broker-dealer switch from a legacy archive?

Greenboard migrates the history from your previous archive and provides the third-party undertaking for your FINRA filing, so there's no gap in your books and records.

Built for AI-native compliance teams.

See how your program runs on one system. Implementation is measured in weeks, not quarters.