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When the examiner asks, the answer is already filed.

Proof that builds itself in the background. An exam request becomes a download.

Evidence accrues from day one.

Every AI interaction, on Proxara Connect and on every managed device, is classified, tagged, and signed as it happens. What accumulates is one continuous, versioned record, not a document assembled after the fact.
47 rules across the frameworks the firm answers to

Reg S-P, FINRA 3110 and 2210, SEC marketing, and the firm’s own.

DAY ONE2,847 SIGNED ROWSExaminationREADY

one continuous record · immutable · signed

47
Rules checked on every interaction, across 7 frameworks.
Weekly
Scans for new SEC and FINRA guidance, each change versioned.
One
Continuous record, building from day one rather than assembled at exam time.
1-click
Exam reports drawn from the live record, timestamped and attributed.

The console is where proof lives, not where the work happens.

It opens when an examiner asks, and what they need is already there: classified interactions, versioned rules, and a report drawn from a record built all along.

Enterprise Console
Proxara
Meridian Wealth Advisors
Sarah ChenLogout

Command Center

7 days
0
Interactions
0%
Auto-handled
0
Exceptions
0
Critical
Interactions per day
Mon
Tue
Wed
Thu
Fri
Sat
Sun
Active Alerts

4 pattern alerts detected this week

47 rules, 7 frameworks

Every interaction classified and tagged automatically.

Auto-updating rules

Weekly scans for new SEC and FINRA guidance. Versioned.

One-click exam reports

Evidence generated continuously, not before the exam.

Immutable audit trail

Every review timestamped and attributed.

What the examiner finds.

Three things, already in place when the request lands: a record, the rules behind it, and the report that draws them together.

A continuous record

Each governed interaction classified, tagged, and signed as it happens, tamper-evident and attributed.

Continuous record
09:14R. MartinezReg S-P
09:02A. PatelFINRA 3110
08:51J. LiuSEC Mkt
08:33S. ChenReg S-P
signed as each row is written

Rules that stay current

Pre-built SEC and FINRA packs plus the firm’s own, re-scanned weekly. Every change versioned.

Versioned rules
Reg S-P · FINRA 3110 · FINRA 2210 · SEC Marketing
v24New SEC Marketing Rule guidance
v23FINRA 2210 testimonial update
v22Firm-custom phrase added

A report in one click

The exam packet is generated from the live record, drawn rather than assembled.

Examination packet
Supervision evidencePDF
PeriodQ2 2026
Interactions2,847
Auto-handled99.4%
Exceptions reviewed16 / 16
Generated straight from the live record.

The product speaks up in Slack, Teams, and email.

Material events reach the people who need them where they already read, the firm’s own rules run on every governed interaction, and a thousand-plus AI tools stay in scope from day one.

Integrations

SlackConnected

#compliance-alerts Employee pasted a spreadsheet containing client names into Claude. Classified as high-risk. Flagged for compliance review.

TMicrosoft TeamsConnected

Weekly digest: 847 prompts screened. 3 needed review. 0 unresolved.

+ Webhooks, email digests

Alerts where the team already works

Flagged events go straight to Slack, Teams, or email, so review happens without opening another dashboard.

Vocabulary Policy

FINRA 3110SEC MarketingFirm Custom
"guaranteed returns"Flag
"outperform the market"Warn
"no risk"Flag
"past performance"Warn

The firm’s rules, applied automatically

Start with pre-built SEC and FINRA packs or write the firm’s own. Each rule is checked against AI interactions as they happen.

Coverage

ChatGPTChatGPT
ClaudeClaude
GeminiGemini
PerplexityPerplexity
APIsThird-party vendor integrations
A thousand-plus AI tools, one checkpoint

Works across a thousand-plus AI tools

Proxara does not replace the firm’s tools. It supervises them, so when a regulator asks, the answer is ready.

Already filed, in the next drawer along.

What the pack is checked with, where it is assembled, and how it reads to the two kinds of firm that ask for it most.

Verify a packHand the pack to anyone. They can check every signature themselves, in a browser, without Proxara.OpenThe consoleWhere a pack is assembled, filtered to a date range, and downloaded.OpenWealth managementThe same record, read by an RIA and the people who examine one.OpenAccounting and taxThe same record, read by a practice working under section 7216.Open

Adoption with the record already behind it.

See how the same continuous record maps to the rule that applies, or talk it through with the team that built it.