Wall Street's
Trusted
Settlement Engine
20+ years securing compliance for the world's largest financial institutions. Stress-tested by the most demanding security audits on Wall Street.
Network Reach
Every Counterparty Is Reachable
Loffa is not a walled garden. Firms on the network exchange free funds letters digitally in both directions — and every other DTC-registered broker-dealer still receives the request and responds, without being a Loffa customer. You do not need your counterparty to sign up first.
Why Loffa
Built for the Most Regulated Industry on Earth
Three pillars that have made us the trusted backbone of Wall Street's settlement infrastructure.
Compliance Automation
Automate SEC 15c3-3, FINRA 4311, and prime brokerage compliance workflows. Eliminate manual processes that create risk.
Explore SolutionsSettlement Security
End-to-end encrypted settlement processing with AES-256 encryption, TLS 1.3, and multi-factor authentication at every handoff.
Our SecurityOperational Intelligence
Real-time dashboards, automated audit trails, and regulatory reporting that keep you ahead of examinations — not scrambling.
Learn MoreSolutions
Broader Operational Compliance Solutions
Loffa's platform sits in a distinct lane — operational and financial compliance automation for broker-dealers. Explore how our modules come together to solve the workflows regulators examine every cycle.
Broker-Dealer Compliance Automation
The operational and financial workflows that most RegTech vendors skip — 17a-13 counts, 15c3-3 verification, FINRA 4311 agreements — automated end to end.
Explore the platform →Settlement Workflow Automation
T+1 didn't kill the gaps — it made them more expensive. Automate the broker-to-broker workflows that sit between trading systems and the DTCC/Broadridge rails.
Explore solutions →Our Products
The Arsenal
Purpose-built platforms and expert services for Wall Street's most critical compliance and settlement workflows.
Compliance Automation
Freefunds Verified Direct
Automates SEC 15c3-3 customer protection rule compliance, replacing manual letter-based processes with secure digital verification.
- ✦ Eliminate manual free credit balance letters
- ✦ Real-time verification & audit trail
- ✦ FINRA-compliant record retention
Settlement Network
Prime Broker Interactive Network
A secure, centralized platform for managing prime brokerage agreements and FINRA 4311 compliance between executing and clearing brokers.
- ✦ Centralized SIA-150/151 management
- ✦ Automated prime broker notifications
- ✦ Complete audit trail & compliance reporting
Regulatory Reporting
Quarterly Broker Statement
Streamlines the creation and delivery of quarterly broker statements required under SEC rules, with automated data collection and formatting.
- ✦ Automated quarterly statement generation
- ✦ Built-in regulatory compliance checks
- ✦ Secure delivery & archival
Strategic Advisory
Compliance Consulting Services
Expert regulatory consulting to modernize your broker-dealer compliance infrastructure. Architecture review, gap analysis, workflow redesign, and examination readiness.
- ✦ Compliance architecture review & gap analysis
- ✦ Workflow redesign for modern regulations
- ✦ Examination readiness & mock audits
Managed Compliance
Compliance Service Desk
A fully managed compliance operations team handling your most critical regulatory tasks. Your back office, without the overhead.
- ✦ Quarterly securities counts (17a-13)
- ✦ Free funds letters & confirmation management
- ✦ Reconciliation & audit support
Security
The Vault
Enterprise-grade security infrastructure that has withstood 20+ years of Wall Street's most rigorous audits.
SOC 2 Type II
Certified
TLS 1.3
In-Transit Encryption
AES-256
At-Rest Encryption
24/7
Security Monitoring
Ready to Modernize Your Compliance Infrastructure?
Join the institutions that trust Loffa for their most critical settlement and compliance operations.