Prime Broker Interactive Network
Centralizing FINRA 4311 compliance for prime brokerage operations. A secure network connecting executing brokers, clearing firms, and prime brokers for seamless agreement management.
The Problem
Fragmented Agreement Management Creates Systemic Risk
Prime brokerage operations involve complex, multi-party agreements governed by FINRA Rule 4311. Managing SIA-150 and SIA-151 forms across dozens of counterparties using email, fax, and spreadsheets creates dangerous gaps in compliance coverage.
- ✗ Agreements scattered across email inboxes and file shares
- ✗ No centralized view of agreement status across counterparties
- ✗ Manual tracking of SIA-150/151 form submissions and approvals
- ✗ Expired agreements go unnoticed until regulatory examination
- ✗ Notification obligations missed between prime and executing brokers
The Solution
One Network. Complete Visibility.
PBIN creates a single, secure network where all prime brokerage agreement participants can manage their obligations under FINRA Rule 4311. Executing brokers, clearing firms, and prime brokers share a common platform for SIA-150 and SIA-151 processing, notification management, and compliance tracking.
- ✓ Centralized hub for all prime brokerage agreements
- ✓ Automated SIA-150/151 form routing and processing
- ✓ Real-time agreement status visible to all parties
- ✓ Automated expiration alerts and renewal notifications
- ✓ Complete compliance documentation for FINRA examinations
Capabilities
Key Features
Built for the unique complexity of multi-party prime brokerage compliance.
Centralized Management
Single platform to manage all prime brokerage agreements across counterparties. No more searching through emails, shared drives, or filing cabinets to find current agreement status.
SIA-150/151 Processing
Digital submission, routing, and approval of SIA-150 and SIA-151 forms. Automated validation ensures completeness before routing to counterparties for review and execution.
Automated Notifications
Configurable alerts for agreement expirations, pending approvals, counterparty actions, and compliance deadlines. Never miss a critical notification obligation under FINRA 4311.
Agreement Tracking
Real-time visibility into the lifecycle of every agreement -- from initial submission through execution, amendment, and renewal. Status dashboards highlight items requiring attention.
Compliance Dashboard
Executive-level dashboards provide instant visibility into compliance posture across all prime brokerage relationships. Drill down into individual agreements or roll up across the entire book.
Secure Network
End-to-end encryption, role-based access controls, and multi-factor authentication ensure that sensitive agreement data is accessible only to authorized counterparty representatives.
Outcomes
Transform Your Prime Brokerage Operations
PBIN delivers measurable improvements to agreement management efficiency and FINRA 4311 compliance readiness.
Single
Source of Truth
All agreements, forms, and correspondence in one centralized, searchable platform. Eliminate the risk of working with outdated or incomplete agreement records.
75%
Faster Agreement Processing
Digital routing and automated validation dramatically reduce the time between agreement initiation and execution across all counterparties.
Instant
Exam Readiness
Generate comprehensive FINRA 4311 compliance reports on demand. Complete agreement history and audit trails available at the click of a button.
See PBIN in Action
Schedule a personalized demo and see how the Prime Broker Interactive Network can centralize your FINRA 4311 compliance operations.