EXECUTIONREPORTS.COM AMENDED SEC RULE 605 / FINRA 5310.09 ENGINE

Privacy Policy

Last updated: October 2026

1. Overview & Commitment

Execution Reports respect the privacy and operational confidentiality of broker-dealers, compliance officers, and compliance consultants using our platform. This policy explains what information we collect, how it is handled, and how your supervisory workflows are protected.

Our platform analyzes public regulatory data covering the competing-markets half of FINRA Rule 5310.09 execution quality reviews. We do not provide legal advice or certify regulatory adherence.

2. Information We Collect

Account Information: When you sign in or purchase a subscription, we collect your business email address and broker-dealer CRD designations. Authentication is conducted passwordlessly using single-use cryptographic email links.

Supervisory Dispositions & Committee Notes: When your committee records dispositions for flagged material differences, enters meeting dates, or generates signed committee minutes, this information is stored securely in your private workspace database and isolated cloud storage.

Payment Information: Subscription billing and payment transactions are handled directly by our payment processor, Stripe. We do not store or process complete credit card numbers or banking credentials on our servers.

No Third-Party Advertising Trackers: We do not sell user data, nor do we deploy third-party advertising trackers or behavioral profiling pixels on our platform.

3. How We Use Information

We use collected information solely to:

  • Authenticate and provision your access to broker-dealer workspaces;
  • Record and persist supervisory determinations and committee minutes;
  • Process annual subscription renewals and send administrative invoices;
  • Maintain cryptographic audit trails for signed review dossiers.

4. Security & Data Retention

We use industry-standard encryption in transit (TLS) and at rest. Authenticated sessions rely on secure, HttpOnly, cryptographic session tokens. Signed dossiers are immutably archived with SHA-256 verification hashes to support broker-dealer supervisory record-keeping.

5. Contact

For privacy inquiries or to exercise applicable data rights, please contact privacy@executionreports.com.