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Whitepaper: Overheard at the 2022 FINRA Annual Conference

Tuesday, October 11, 2022

When we attended this spring’s FINRA annual conference, we came home with a lot of new knowledge. Our teams participated in some really great sessions. We listened and picked up great information from the event speakers. We had great discussions with industry peers and experts. More than that, though, we learned from the financial professionals who stopped by our booth.

They shared their challenges in today’s demanding regulatory environment, and we found some common threads between our conversations.

We realized – if they’re feeling it, others in the industry must be too. We put together some of their top pain points and challenges around financial compliance software and compiled some solutions.

And now we’re making it available to you. Download your copy and let us know if there are other pain points you’re experiencing that we should also include.

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About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.