TruaBroker

A Financial Broker Compliance Tool to Automate Regulatory Adherence

Take Control of Regulatory Compliance

What is TruaBroker™?

TruaBroker is a financial broker compliance tool designed to automate regulatory adherence for financial institutions. It simplifies the compliance process by continuously monitoring and validating data from authoritative sources like FINRA, SEC, and NFA. The platform verifies broker registrations, licenses, exams, disclosures, disciplinary actions, and regulatory compliance, reducing operational costs, detecting potential fraud, and maintaining trust. With comprehensive reporting and a secure, cloud-based interface, TruaBroker helps institutions uphold regulatory standards and protect their reputation.

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Relentless Compliance 24/7

Proven Security Meets Modern Needs

Today’s financial institutions face mounting challenges: evolving regulations, market volatility, and rapid tech advancements. TruaBroker™ alleviates these burdens by ensuring a secure, compliant, and qualified workforce. Built on Trua’s Continuous Evaluation platform—originally developed post-9/11 for national security screening and now trusted by agencies combating fraud and insider threats—TruaBroker is ISO 27001 certified and delivers enterprise-grade security.

With AI-powered algorithms, TruaBroker provides:

  • Real-time alerts for compliance issues 
  • Actionable analytics to address risks quickly 
  • Seamless onboarding into a centralized and encrypted risk management system

TruaBroker Features & Benefits

Registration Status

Confirms active registration with SEC, FINRA, and other regulators, empowering confident hiring.

Name Validation

Matches identities across BrokerCheck, SEC IAPD, and more to prevent fraud before it starts.

License Compliance

Ensures all licenses (broker, advisor) are current, eliminating gaps and keeping teams focused.

Disciplinary Actions

Uncovers disciplinary history to protect against insider threats and reputational risks.

Exam Verification

Instantly validates exams (e.g., Series 7, Series 63) for faster onboarding.

Disclosure Review

Proactively flags civil actions or complaints to maintain trust and compliance.

Arbitration Records

Provides visibility into arbitration outcomes for full transparency.

Regulatory Adherence

Aligns with federal and state regulations (NFA, SEC) to strengthen KYC/AML processes.

Al Power and No IT Implementation

TruaBroker™ is a cloud-based, subscription service accessible from any browser. With no software installation or IT support required, it offers enterprise-grade encryption for data in transit and at rest. Scale usage effortlessly with a flexible monthly subscription plan.

Comprehensive Verification

 

TruaBroker integrates seamlessly with: 

  • FINRA Broker Check
  • SEC Investment Advisor Public Disclosure (IAPD) DB
  • NFA (National Futures Association) Background Affiliation Status Information Center
Manage Brokers and Advisors with Confidence

TruaBroker™ empowers financial institutions to onboard, monitor, and manage advisors with ease. Stay ahead of risks, reduce compliance costs, and focus on growth.

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