EQube's Correspondence module provides a platform for members and compliance officers to manage and supervise any form of communication by broker dealers including any financial or investment recommendations, product promotions or services, etc.

Correspondence Module Features

• The ability to submit requests and obtain approval for the proposed type of communication including content, method of communication, materials used, etc.
• Ability to enter request details, notes, flag items and keep track of FINRA filings
• Recordkeeping capabilities in accordance with regulatory requirements
• And much more


• Compliance Regulation(s)
  • EQube's Correspondence module helps to fulfill FINRA rule 2210 regulatory requirement.