FinTrax™ Software Inquiry

Revolutionize How Your FINOP Reviews Accounting Records

Regulatory Compliance has revolutionized how a broker-dealer and its Financial and Operations Principal ("FINOP") perform their duties under FINRA Rule 1022. Until now, it has been challenging for a FINOP to monitor the Firm's net capital and client accounting activity on a daily real-time basis. Regulatory Compliance, a firm specializing in outsourced FINOP services, recognized this need and developed its state of the art Fintrax™ software. With the assistance of this software, the FINOP and broker-dealer can demonstrate to regulators that the firm's ability to meet their requirements are being monitored by the FINOP on a daily basis.

How does Fintrax™ work?

Regulatory Compliance's Fintrax™ software is a one-time downloadable and licensed product that can be installed on the firm's PC or Server where the QuickBooks program resides. Fintrax™ runs in the background and "wakes up" at a set periodic time to extract, transport and load a copy of the firm's current financial data into the Fintrax™ database, which is stored on Regulatory Compliance secure servers. As information flows into the database, Fintrax™ automatically calculates certain values, such as required net capital. Fintrax™ is easy, non-intrusive and works with all QuickBooks versions. While using Fintrax™, Regulatory Compliance and your FINOP keep ahead of the curve on the net capital, providing the early warning time needed to resolve issues before violations occur.

Download the Brochure