Brokerage Account Disclosures

Manage employee brokerage account disclosures, duplicate statement collection, and outside account supervision. EQube automates the full lifecycle under FINRA Rule 3210.

• Employee account disclosure submission and approval workflow.
• Automated duplicate statement collection from outside broker-dealers.
• Transaction monitoring for employee outside accounts.
• Annual account verification and attestation campaigns.

EQube Financial Compliance Software | About EQube