Case Study: Securities America achieves 8,000-message-per-day reduction in electronic communication compliance reviews with Smarsh Professional Services

Securities America Taps Smarsh Professional Services to Reduce Electronic Communication Compliance Review by 8,000 Messages Per Day

Securities America, an independent broker‑dealer with more than 2,000 representatives, needed to meet FINRA supervision requirements while managing a huge daily email volume. Archiving 90,000–100,000 emails per day, their systems were flagging roughly 19% (17,000–19,000) of messages for review, leaving a team of hundreds months behind and working weekends to keep up.

Securities America engaged Smarsh Professional Services to tune supervision policies and remove non‑critical “noise.” Within three months flagged messages dropped from 19% to 10%—about 8,000 fewer messages per day—freeing roughly 30 hours of review time daily and enabling the firm to stay current and focus on the communications that pose real risk.

Securities America

Janet Hill

Deputy Director of Sales Supervision Operations