Welcome to broker-dealer branches protection and compliance.

The gap analysis is a 30-minute call with FCI. No preparation required on the firm’s part. FCI walks through what controls are in place, what is missing, and what your next exam, renewal, or home-office requirement is likely to ask for — endpoint protection, MFA enforcement, access controls, incident response, vendor due diligence, and written supervisory procedures backed by technical evidence, not just policy on paper. From there, the firm decides what, if anything, to do next.

The FCI Portal is where the home office sees every branch and every registered representative in one place — device posture, MFA status, encryption, patching, access, and incident history. Evidence aligned to FINRA Rule 3110 and the SEC cybersecurity framework assembles continuously, so you stop preparing for exams and start showing them. On the demo we will walk through a live portal, not a slide.