Software for broker-dealers · since 2007

Compliance, trade processing and client communication, out of the box.

mezzoFin builds ready-to-run software for FINRA broker-dealers: tools that keep your firm in compliance, process your trades and keep you in touch with your clients. No long setup, no large-vendor price.

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TradeMonitorDemo Securities LLCSample dataML

Alert queue

All checksOpenOverdueExport CSV
DateCheckSymbolAccountStatus
Nov 2Per order % of ADTVACME40115Closed
Nov 2Wash tradesBLTX40221In review
Nov 2Marking the closeHRVN50210Open
Nov 2Cumulative executions % ADTVZYPH40116In review
Oct 30Large account-dayQLMN10442Escalated
Oct 30High order-to-fill ratioNVTB60077Open
Oct 30Household wash tradesACMEH-12In review
Oct 29Per execution % of ADTVDMSX40310Closed
Oct 29Low-priced stock % of ADTVPNKY40118Open
Per order % of ADTVReviewed in 3 days
ACME Account 40115
Buy limit · 3 fills · 1 replace · Oct 30, 2026
0%limit 10%20%
Order86,000shares
ADTV597,20030-day average
% of ADTV14.4%over limit
FINRA 202031103310
D1 · Closed, no concernMLCompliance principal

Index rebalance. Matches the client's stated strategy and 60-day history. No price impact at the close.

Signed Nov 2, 08:41 ET · locked, notes only
Since 2007Building software for broker-dealers
One suiteCompliance, trades and clients
Cloud-hostedNothing to install
Ready on day oneOut-of-the-box, not a project
Built around FINRA

Every product is built to help your firm meet its FINRA obligations

Whether it's surveilling trades, processing them or talking to clients, each mezzoFin product is designed from the start around the FINRA and SEC rules that apply to it, and keeps the records you need to show an examiner.

Rules firstEach feature names the rules it supports.
Records keptReviews, reports and logs saved unchanged.
Ready for examsReports you can hand to an examiner.

mezzoFin is not affiliated with or endorsed by FINRA. Our software supports your firm's compliance program; it does not replace it or give legal advice.

Products

The mezzoFin suite

Built for the way small and mid-sized broker-dealers actually work, starting with TradeMonitor.

TradeMonitor
Available now

Trade surveillance, reviewed before the open

TradeMonitor checks yesterday's orders and executions against FINRA and SEC rules every weekday morning, and puts each exception in front of a named reviewer.

  • Wash trades, marking the close, volume concentration
  • Every alert closes with a reason, a name and a date
  • Daily, monthly and quarterly reports ready for an examiner
Request a demoCustomer sign-in
Checks running today
  • Order and execution size vs. average daily volume
  • Large orders and large account-days
  • High order-to-fill ratio
  • Wash trades
  • Marking the close
  • Household (related accounts) totals
  • Tighter limits for low-priced stocks
Why mezzoFin

Built only for broker-dealers

We have worked alongside compliance, operations and client service teams since 2007. Each product does one job well, and they work as a set.

1

Out of the box

Sensible starting settings, documented, ready to run the day you sign up.

2

Covers the whole day

From the trades your firm makes, to the rules it follows, to the clients it serves.

3

Right-sized

Made for small and mid-sized firms, without a large-vendor price.

4

Real people

Talk directly to the team that builds the software.

Talk to us

See a demo, ask about pricing, or tell us what your firm needs.

CALL(888) 501-1614
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