FINRA Compliance • Books & Records • Financial Data Governance
Govern Financial Data.
Strengthen FINRA Compliance.
BigID helps broker-dealers and financial services firms discover customer data, classify sensitive records, govern access, monitor activity, enforce retention, and generate evidence for FINRA-aligned compliance programs.
Move beyond manual record inventories with data intelligence that connects books and records obligations, supervision, retention, access, and audit readiness to the data your firm actually holds.
Turn regulatory obligations
into measurable data controls.
FINRA compliance depends on reliable records, complete customer data visibility, governed access, defensible retention, and the ability to produce evidence during exams, audits, and investigations.
01
Discover regulated records
Find customer data, account records, communications, supervisory documentation, financial data, and sensitive records across environments.
02
Classify customer data
Automatically classify regulated, sensitive, financial, and customer information by type, policy, owner, and risk.
03
Govern access
Understand who can access records across users, groups, representatives, contractors, service accounts, vendors, and applications.
04
Support retention
Identify stale, duplicate, over-retained, or misplaced records and enforce retention, legal hold, and deletion policies.
05
Monitor activity
Track sensitive data activity, risky sharing, unusual access, and exposure patterns across financial data repositories.
06
Prove audit readiness
Generate reporting for discovery, classification, access governance, retention, remediation, third-party oversight, and evidence reviews.
Questions Security Teams Need Answered
Audit readiness starts with
knowing regulated data.
Compliance, supervision, legal, security, and risk teams need clear answers before they can reduce exposure, support exams, and prove control.
Where do regulated records live?
BigID discovers customer data, account records, communications, supervisory documentation, financial data, and sensitive records across cloud, SaaS, file shares, databases, and collaboration systems.
Who can access them?
BigID maps users, groups, representatives, service accounts, applications, vendors, and third parties with access to regulated financial data.
Which data is overexposed?
BigID identifies excessive permissions, stale access, risky sharing, exposed records, misconfigurations, and policy violations.
Which records require retention?
BigID helps identify regulated records, retention gaps, stale repositories, data ownership, and preservation requirements.
Can we prove control?
BigID generates evidence for discovery, classification, access governance, retention, activity monitoring, remediation, and reporting.
BigID FINRA Capabilities
Connect FINRA compliance
to financial data intelligence.
BigID helps broker-dealers and financial firms discover regulated records, govern access, support retention, reduce exposure, and generate audit-ready evidence.
Learn how BigID helps firms discover regulated records, reduce exposure, support retention, and generate audit-ready evidence.
What is FINRA compliance?
FINRA compliance refers to meeting regulatory obligations for broker-dealers, including books and records, supervision, customer information protection, cybersecurity, privacy, retention, and operational controls.
How does BigID help with FINRA compliance?
BigID helps firms discover regulated records, classify sensitive data, govern access, reduce exposure, support retention, monitor activity, and generate evidence for compliance reviews.
Why is data discovery important for FINRA compliance?
Data discovery helps firms understand where customer data, account records, communications, supervisory documentation, financial data, and operational records live across the enterprise.
Can BigID help with books and records programs?
Yes. BigID helps identify regulated records, data locations, retention context, ownership, sensitive content, access risk, and evidence needed for governance and reporting.
Can BigID help reduce sensitive data exposure?
Yes. BigID helps identify overexposed sensitive data, excessive permissions, risky sharing, stale access, misconfigurations, and policy violations.
How does BigID help prove FINRA audit readiness?
BigID helps generate evidence for discovery, classification, access governance, retention, activity monitoring, remediation, policy enforcement, and compliance reporting.
BigID for FINRA Compliance
Govern Financial Records.
Prove Compliance Control.
BigID helps broker-dealers and financial firms discover regulated records, govern access, enforce retention, reduce exposure, and generate evidence for FINRA-aligned compliance programs.
