VIGILASSIGNED EXAMINER
LiveAE

ASSIGNED EXAMINER

Smarter for Broker-Dealers

Human judgment retained

Work-to-proof operating intelligence

Make every recommendation, communication, trade, and supervisory decision examination-ready.

Broker-dealer operations, supervision, finance, and compliance teams · Registered representative · Supervisory principal · Trade-surveillance analyst · Financial operations principal · AML officer · Compliance examiner
Smarter graph connectedPrivate-by-default learningHuman review gates active
Role workflows2ready now
Capabilities6role adapted
Exam mappings4evidence linked
Raw content shared0constitutional boundary

Role operating queue

Work once, prove continuously

Broker-Dealers
01
Sales-practice supervision

Guide recommendations, disclosures, conflicts, communications, exceptions, surveillance, and principal review.

customer profilerecommendationcommunicationprincipal review
Builds FINRA and SEC supervisory workpapers.
ready
02
Financial responsibility and operations

Reconcile net capital, reserve, possession/control, books, records, breaks, and regulatory reports.

trial balancenet capitalreserveFOCUS filing
Feeds financial-responsibility and reporting procedures.
available

Vigil requirement bridge

Relevant examination programs

All exams ↗
Financial Crimes Enforcement NetworkBSA Electronic Filing4 exact requirements routed
Securities and Exchange CommissionEDGAR Regulatory Filing4 exact requirements routed
Securities and Exchange CommissionInvestment Adviser Registration4 exact requirements routed
Financial Industry Regulatory Authority / SECBroker-Dealer New Member Application4 exact requirements routed
Securities and Exchange CommissionInvestment Adviser Examination6 exact requirements routed
FINRA / SECBroker-Dealer Cycle Examination6 exact requirements routed
FinCEN / State Gaming RegulatorsCasino BSA/AML and Gaming Integrity Examination6 exact requirements routed
State Securities RegulatorsState Investment Adviser Examination6 exact requirements routed
SEC / FINRA / Federal Bank Regulators applying MSRB rulesMunicipal Securities Dealer and Advisor Examination6 exact requirements routed
Department of Labor EBSAERISA Benefit Plan Investigation6 exact requirements routed

Shared capability fabric

One governed context across every system

Signed lineage
1Smarter entity and work graph
2Vigil requirements and examinations
3Apparently controlled documents
4Tomorrow obligations
5Orchestrator approvals
6Pareto analysis
Learning boundary

Raw work product remains workspace-private; only authorized, purpose-bound, pseudonymous reviewed outcomes may enter minimum-cohort learning.

No employee scoring · minimum cohort 5

Vigil is coordinating quietly. Authority changes, evidence, dependencies, Vigil Review, and continuity readiness remain monitored.

View lifecycle