Register
Create the authoritative inventory of obligations, artifacts, owners and review periods.
SIGMATEXT / SOLUTIONS
For FINRA broker-dealers
Turn supervisory evidence into an operating system.
SigmaText keeps books-and-records evidence collected, validated, owned and ready—without turning your compliance professionals into document chasers.
THE OPERATING GAP
Evidence decays between reviews.
Supervisory artifacts, books and records, vendor evidence and approvals are produced by different owners on different schedules. The result is stale proof, repeated follow-up and limited visibility into what is actually ready.
01 / THE WORKFLOW
Supervisory Evidence Operations
A continuously maintained evidence operation that makes ownership, freshness, review status and exceptions visible before an examination begins.
Monitor
Track evidence freshness, missing records and changes across approved systems.
Review
Route exceptions and material questions to the correct supervisory owner with context.
Prove
Produce approved evidence sets with complete lineage, history and disclosure controls.
02 / MEASURED OUTCOMES
Proof in the operating numbers.
↓Response preparation time
0Ownerless evidence items
↓Stale artifact count
LiveReview and exception status
03 / WHAT YOU GET
One accountable operation.
01Evidence obligation register✓
02Freshness and ownership controls✓
03Supervisory review queue✓
04Books-and-records evidence package✓
05Operational audit trail✓
CONTROL BOUNDARY
The system produces.
Your experts decide.
SigmaText operates evidence collection and control workflows. Your supervisory, compliance and legal teams retain interpretation and final decisions.
One workflow. One baseline. Measured proof.