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.

  • 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

    • EQube's Correspondence module helps to fulfill FINRA rule 2210 regulatory requirement.

To inquire about any of the items listed above and additional features please speak with a sales representative.