When you work in the financial industry, it’s important that all documents meet FINRA guidelines. eSign Genie supports compliance with FINRA Rule 4512, including FINRA 2019 Regulatory Notice Amendment 19-13 and document retention requirements of Rule 17a-4(f), meaning you can ensure your document sending and signing is always compliant with industry regulations.
How Does eSign Genie support compliance with FINRA?
- By providing legally binding solutions recognized by all major banks that are compliant with ESIGN and UETA
- Through the issuing of tamper-proof and tamper-evident digital signatures with 256-bit encryption that ensures if any attempt is made to alter a document, there is recorded proof
- Through Stringent SOC 2 Type 2 auditing and compliance and strict adherence to the 5 Trust Service Principles as developed by the AICPA
- By providing thorough and detailed auditing that displays all actions taken by senders and signers, including dates, times, and locations
- By providing a detailed certificate of completion provided for all documents
- Through providing identity verification method options, such as two-factor authentication (2FA) and knowledge-based authentication (KBA)
- By allowing users to save and download the completed signed document for their record retention
For more information on FINRA and compliance regulations your organization needs to meet for electronic signatures and digital documents, please visit www.finra.org.