Broker-Dealer Compliance Automation
Most compliance tools capture emails and chats. Loffa automates the operational and financial rules your business actually runs on — SEC 17a-13 securities counts, 15c3-3 free credit verification, FINRA 4311 carrying agreements — with audit-ready workflows built for broker-dealer operations.
The Problem
Communications Surveillance Isn't Broker-Dealer Compliance
The RegTech market is crowded with vendors that archive email, monitor chat, and supervise social media. Those tools matter — but they don't touch the operational rules that carry the biggest enforcement risk: quarterly securities counts, reserve computations, prime brokerage agreements, carrying agreement documentation, and counterparty verification.
- ✗ SEC 17a-13 quarterly counts still run on spreadsheets and email
- ✗ 15c3-3 free credit balance letters sent by fax and PDF
- ✗ FINRA 4311 carrying agreements tracked in SharePoint folders
- ✗ SIA-150 / SIA-151 prime brokerage forms emailed as attachments
- ✗ 17a-4 retention patched together across disconnected systems
The Solution
One Platform for Operational & Financial Compliance
Loffa built the other side of broker-dealer compliance: the workflows that regulators examine during every cycle. Each module replaces manual, spreadsheet-driven processes with a purpose-built, regulatory-grade system — SOC 1 and SOC 2 Type II audited — so your team spends less time producing evidence and more time running operations.
- ✓ Purpose-built modules for each regulated workflow
- ✓ Time-stamped audit trails tied to specific rule citations
- ✓ WORM retention with instant retrieval — evidence for your 17a-4 obligations
- ✓ Cross-counterparty network effects — your prime and clearing brokers already use it
- ✓ 20+ years of broker-dealer operational heritage
The Platform
Five Modules. One Compliance Platform.
Each Loffa product automates a specific operational compliance workflow. Deploy individually or together — every module shares the same audit trail, retention, and security foundation.
FVD — Free Credit Balance Verification
Automates SEC Rule 15c3-3 free credit balance letters between executing brokers and custodians. Replaces fax and PDF with digital, auditable verification.
Learn more →PBIN — Prime Brokerage Agreements
Centralizes FINRA 4311 carrying agreements and automates SIA-150, SIA-151, and F1SA processing across executing brokers, clearing firms, and prime brokers.
Learn more →QBS — Quarterly Securities Counts
Automates SEC Rule 17a-13 quarterly counts, counterparty confirmations, and difference resolution within the 7-business-day window. WORM archival built in.
Learn more →CCS — Compliance Consulting
Strategic regulatory advisory — architecture review, gap analysis, workflow redesign, and examination readiness — delivered by compliance specialists who have run the workflows in production.
Learn more →CSD — Compliance Service Desk
Outsourced compliance operations. Loffa runs the workflows as a managed service — your back office without the overhead, your audit readiness without the scramble.
Learn more →Shared Security Foundation
Every module runs on the same SOC 1 and SOC 2 Type II audited infrastructure. Single control environment, one vendor risk profile, one contract.
Outcomes
Why Broker-Dealers Choose Loffa
The workflows that used to consume your operations team every quarter now run themselves.
20+
Years on Wall Street
Two decades powering compliance workflows for the world's largest broker-dealers, prime brokers, and clearing firms.
SOC 1
+ SOC 2
Independently Audited
Both SOC 1 (financial controls) and SOC 2 Type II (security, availability, confidentiality) — the audit reports your compliance and vendor-risk teams require.
Exam
Ready
Always Audit-Ready
Complete audit trails tied to rule citations, WORM-retained and retrievable in seconds. No more reconstructing evidence after the examination request arrives.
Watch
Automated Isn't Free. It's Unpriced.
Where spreadsheet-and-email "automation" hides its real cost, and how a centralized system of record brings it back into view. Features FVD, QBS, and PBIN.
Automated Isn't Free. It's Unpriced. Motion-graphic explainer, 2:36, captioned.
- ✓"Automated" is not the same as centralized. A mail merge and a spreadsheet automate sending, and nothing else.
- ✓The cost is real, just unassigned. It lands in IT, security, operations, compliance, and legal, not in the business group's budget.
- ✓The audit trail is the expensive part, and exams make it spike.
- ✓One system of record fixes it: FVD, QBS, and PBIN track, match, flag, and document every request from start to finish.
See Loffa's Platform in Action
Schedule a walkthrough and see how our five modules automate your firm's operational compliance workflows — one platform, one audit trail, one vendor relationship.