Solutions · Financial Services
AI supervisory review for broker-dealers, RIAs, and fintech. Built in, not bolted on.
FINRA Rule 3110 requires that all communications with the public be reviewed by a registered principal. When AI generates those communications at volume, that obligation doesn't disappear — it scales. DataVibe is the supervisory review layer that makes AI-generated financial communications examinable by a regulator.
The supervisory review workflow.
DataVibe replaces the ad-hoc review process with a structured, auditable workflow that a FINRA examiner can inspect and a compliance officer can defend.
Your AI SDR, wealth management assistant, or advisor copilot drafts an email, message, or document.
The policy engine checks for FINRA violations, UDAAP patterns, investment advice claims, and PCI data in milliseconds.
BLOCKED violations are stopped with a full explanation. WARN-level flags route to your compliance officer queue.
Your compliance team reviews flagged communications in the dashboard or via Slack. One-click approve or reject.
Every decision — the rule, the matched text, the reviewer, the timestamp — is hashed into an immutable audit chain.
8 financial regulations. Pre-configured.
Apply the FINRA template in the onboarding wizard and every regulation below activates automatically. No rule writing required.
Communications with the public — retail, institutional, correspondence. Predictive return language, performance guarantees, and unapproved testimonials are blocked.
Supervisory review obligation. Every AI-generated client communication creates a reviewable record. DataVibe is the review layer — not an afterthought.
Specific investment advice in AI-generated outbound. Detects language that implies a product recommendation without meeting the best interest standard.
Unfair, deceptive, or abusive acts or practices. AI-generated marketing and servicing communications scanned for deceptive claim patterns.
Consumer financial data privacy. NPI (non-public personal information) in AI outbound — account numbers, routing numbers, SSNs — hard-blocked.
Bank Secrecy Act and anti-money laundering. AI-generated communications containing AML red-flag language are routed to compliance review.
Payment card data in AI-generated communications. Card numbers (spaced or unspaced), CVVs, and routing numbers are hard-blocked.
Fair disclosure obligations. Material non-public information (MNPI) patterns in AI communications are caught before selective disclosure occurs.
What gets caught before an examiner does.
Regulation: FINRA Rule 2210 — predictive return + guarantee language
Guarantee claim + specific unverified return figure. Hard block. Client never receives this message.
Regulation: GLBA + PCI DSS
Routing number pattern matched. Financial account data cannot appear in outbound communications.
Regulation: SEC Reg BI — specific investment advice without best interest analysis
Specific securities recommendation without documented best interest basis. Hard block, escalated to supervision team.
Regulation: FINRA Rule 2210 — comparative advertising
Comparative claim detected. Routes to compliance officer — verifiable if fees are current and fairly presented.
Regulation: UDAAP — potential deceptive practice
Material term change implied without proper disclosure. Compliance review required before the offer is communicated.
What you show a FINRA examiner.
When an examiner asks for your supervisory procedures for AI-generated communications, DataVibe gives you a defensible answer — not a policy document, but a live, queryable record of every decision your AI system made.
Every AI-generated communication passed through a deterministic policy scanner and a registered principal review queue before dispatch.
BLOCK violations were hard-stopped and never sent. WARN violations required explicit approval from a reviewer with a named supervisor ID.
Yes. Every decision is bound to an immutable policy snapshot. The same input through the same snapshot produces the same verdict — on demand.
Audit records are append-only and hashed. Retention period is configurable. Default is 7 years — matching FINRA 3110 record-keeping requirements.
Apply the FINRA template in 2 minutes.
Sign up, pick Financial Services in the onboarding wizard, and FINRA Rule 2210, SEC Reg BI, UDAAP, PCI, and BSA/AML rules activate immediately.
Starter plan free. Enterprise includes dedicated support and custom FINRA rule configuration.