Nucleus One for FINRA
Organized records. Reviews you can prove.
Nucleus One keeps client records organized, routes supervisory reviews to the right people and keeps a full history on every document. It helps you meet FINRA recordkeeping and supervision requirements.
- 01AdvisorFiles a new client account form
- 02WorkflowRoutes it to the supervising principal
- 03PrincipalReviews, comments and approves
- 04CompliancePulls it for an exam request, with its full history
01The problem
The review happened. Can you show it?
- Client records are scattered across inboxes, drives and paper files.
- Supervisory reviews happen, but proof of them is hard to pull together.
- Access to sensitive client files is wider than it should be.
- An exam request means days of searching instead of minutes.
02What Nucleus One does
Four ways it helps you meet FINRA.
Projects + search
Organize records by type
Group records by business process or record category in projects and folders, and find any of them by what is written inside, including scans.
Workflows + tasks
Route supervisory reviews
Send records and exceptions to the designated reviewer with assignments, comments, approvals and e-signatures, all recorded with the document.
Roles + MFA
Control who sees client files
Admin, member and read-only roles on every project, plus authenticator-app MFA you can require for everyone.
Versions + history
Keep every version and action
Versions with restore and a full activity history on every document, so you can show how a record moved through review.
03How teams set it up
From first project to audit-ready.
- 01
Map the record type
Decide which records go in which project and folder.
- 02
Restrict the workspace
Give access by role and require MFA.
- 03
Route the review
Supervisors approve or comment, and it is recorded.
- 04
Retrieve on request
Search and history make exam requests quick to answer.
04Official guidance
Read the rules at the source.
Map these to your own controls, then put Nucleus One to work on them.
Nucleus One runs on Google Cloud, whose infrastructure is SOC 2 / ISO 27001 certified.
Authenticator-app MFA, with an option to require it for everyone in your organization.
Trusted by 1,000+ organizations since 2002.
Free live demo
See Nucleus One set up for your FINRA work.
Book a free demo and we will show you around, answer your questions and run your real paperwork through it. No cost, no pressure.
- A live tour of the products that fit your work
- Your own documents, set up and shown working
- Your workflow and process, mapped with you
- Straight answers from people who build it
