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SEC Compliance Software

Maintain trust and integrity with a scalable, easy-to-use solution that speeds employee adoption and helps you meet regulatory requirements.

Stay Ahead of Risk

Stay Ahead of Risk

The Securities & Exchange Commission (SEC) draws a hard line around market manipulation in order to protect investors from fraud and safeguard consumers’ interests. But that hard line doesn’t stay put—in a rapidly changing industry, the SEC is continually adapting its rulings to accommodate the digital space.

Keeping up with swift regulatory changes is a tall order for brokers, advisors, and their associates, but to fall out of compliance means hefty consequences. Star’s suite of SEC compliance solutions can flag unregistered sales, catch insider trading attempts, and protect whistleblowers, so brokers can continue to trade with confidence.

Critical Protection in a Changing World

Since 1934, the SEC has sought to protect investors and consumers from bad actors—namely, those who attempt to manipulate markets for their own gain. Through regular reports and occasional audits, the SEC keeps watch over any public company selling securities, including its leadership and principal stockholders, to promote fair trading, prevent market abuse, and ensure transparency of market information.

Backed by the federal government, the SEC monitors these entities for violations related to:

  • Insider trading
  • Attempting to mislead or block investors
  • Manipulating securities prices
  • Selling unregistered securities

Those who violate the SEC’s terms risk steep fines, embarrassing investigations, the devastating loss of investors, and even incarceration. So how can you protect your firm from potential threats while ensuring SEC compliance?

By implementing an airtight compliance program built with ease-of-use in mind, all team members can stay in the loop and out of trouble.

About the Star Platform


SEC Rules and Regulations to Know

Star’s suite of SEC compliance solutions protect your firm against violations of the following:

The Securities Act of 1933: Requires that companies make information regarding securities for public sale readily available to investors. See our Employee Conflict of Interest solutions.

The Securities Exchange Act of 1934: Ensures that publicly traded companies disclose important information to current and potential shareholders by prohibiting insider trading and other fraudulent activities. See our Employee Conflict of Interest solutions.

Investment Advisers Act of 1940: Defines the role and responsibilities of an investment adviser, specifies what qualifies as investment advice, and stipulates who must register with state and federal regulators in order to dispense it. See our License & Registration solution.

Sarbanes-Oxley Act of 2002: Mandates responsible and transparent financial record keeping for corporations to protect investors from fraudulent reporting. See our Incident & Policy Management Solution.


Maintain a Single Source of Truth

With Star’s suite of compliance software solutions, you can ensure SEC compliance, facilitate widespread adoption, and set your teams up for success in a fast-moving market.
icons8-360-50360° data visibility

Support transparency and cross-functional collaboration


Real-time Updates

Update information quickly and accurately without risk of human error


Fast & accurate reporting

Streamline reporting capabilities with attractive, error-free documents


Intuitive interface

Support easy employee adoption


Cost savings

Lower costs by streamlining processes


Scalable & secure

Scale up or down while safeguarding employee data

SEC Compliance Software
Solutions built for the regulatory challenges of today and tomorrow.

Incident Management


Star's Incident Management solution offers the industry’s most comprehensive intake methods for reporting your company’s concerns, and collects, manages, and resolves any incidents that arise. This solution includes a powerful workflow engine and notification matrix along with a comprehensive, easy-to-use reporting and analysis platform.



Policy Management


Star's Policy Management solution makes creating, maintaining, and managing your policies simple. In addition, this solution offers easy mobile access for employees to review and attest to policies, includes access to a large policy library to quickly drop in augment your existing policies, and seamlessly integrates into Star's Incident Management platform.



Manage your License and Registration workflows with confidence

With centralized monitoring and easy integration with FINRA and other regulators

Control Room Graphic 2023-1
Centralize deal data and identify business and employee conflicts

Compliance Control Room lets you organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single platform.

Training & Competency

Develop a culture of compliance, drive firm-wide adoption and protect your firm's reputation with a training and competency solution that builds trust and certainty.


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