Compliance Solutions and Cyber Security Services
for FINRA Regulated Firms

6 out of 10 of the fastest growing Independent Broker-Dealers use Docupace.

Increase Operating Efficiency

Decrease your processing time from days to minutes and at a reduced cost. Integrate with your other systems to provide a seamless solution.

Meet Changing Regulatory Demands

Easily satisfy the requirements for FINRA Rules 3110 and 3120, FINRA Rule 2210 and 2212–2216, FINRA Rule 4511, and new regulatory rules being enacted.

Increase Advisor Satisfaction

Process business quicker, with increased visibility, improving communication, and allowing commissions to be received faster.

Position for Accelerated Growth

Adapt effortlessly to an expanding workforce in an ever-evolving industry.

Time-tested and Trusted

Turnkey Solution

Drive FINRA/SEC Compliance

ePACS Productivity Suite

Each FINRA approved, and cyber secure ePACS solution addresses a specific processing need of Broker-Dealers. Package them together, and the ePACS Productivity Suite streamlines every aspect of Broker-Dealer processing with additional security, authentication, tracking, reporting, and instantaneous confirmation.

Schedule a Demo

Straight-Through Processing has changed my life and our practice. We can’t thank Docupace enough for working with us to get it adopted and running smoothly.

– Adam Pearce, a CERTIFIED FINANCIAL PLANNER
Professional at The Legend Group in Tucson, AZ.

Cyber Security Services

Docupace’s cyber security best practices, infrastructure configurations, and policies and controls are unique in the industry and recognized for setting a new standard for cyber
security. We help Broker-Dealers assess their vulnerabilities, correct potential gaps, and provide ongoing monitoring with custom-tailored Cyber Security Packages.

Receive a custom-tailored proposal with pricing.

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