D-KaP Inspect — the EpochCore product that turns each FINRA Rule 3110 supervisory branch review into a tamper-evident, examiner-verifiable evidence pack — captures the inspection at the moment it happens. Capture the review, lock it down with a tamper-evident signature, hand it to your examiner. No spreadsheets, no missing screenshots, no “we’ll get back to you on that.”
FINRA 3110 says a registered broker-dealer must conduct supervisory inspections of its branch offices and document them. When the FINRA examiner shows up six months later, they expect to see proof the inspection happened on the date you claim, by the person you claim, with the findings you recorded. Most firms hand over PDFs and screenshots a regulator can’t verify, then spend weeks producing additional “corroborating” records when the examiner pushes back.
This SKU eliminates that round-trip. Every inspection you run is sealed in real time with three independent cryptographic signatures and anchored to an external trust root, so the examiner can verify on first review and move on.
D-KaP Inspect captures a FINRA Rule 3110 supervisory inspection record at the moment it happens. You submit the inspection details (date, supervisor identity, branch reviewed, findings, follow-ups), and the service returns a signed evidence packet—a JSON record plus a printable PDF—carrying a triple cryptographic signature and a verifiable timestamp. The result is a file your examiner can authenticate against the EpochCore root without calling us, without trusting our website, and without any “just-trust-the-vendor” story.
40668c787c463ca5. Your examiner can verify offline.Conduct the FINRA 3110 supervisory review of the branch or representative as your written supervisory procedures require. Take your usual notes, record the findings, capture any remediation items.
/inspectSubmit the inspection record (date, supervisor name, branch ID, findings, follow-up plan) to the D-KaP endpoint with your API key. The service seals the record in under two seconds and returns the signed evidence packet.
Drop the PDF in your books-and-records folder. When the FINRA examiner asks for proof of the inspection, hand them the JSON receipt—they can verify the signatures against the published trust root themselves. No follow-up requests.
Example: A 40-rep broker-dealer in Boston runs quarterly supervisory inspections across five branch offices. Each Operating Principal posts the inspection summary to /inspect at the end of the visit. When FINRA shows up the following spring, the CCO exports 20 signed packets (4 quarters × 5 branches) and emails the bundle to the examiner. The examiner runs verification, sees all 20 records were sealed at the times claimed by the named supervisors, and closes the inspection line item without follow-up.
A single FINRA examination finding for inadequate supervisory documentation typically costs a small broker-dealer 30+ hours of compliance staff time to remediate, plus the regulatory exposure. $59 per signed inspection record is one-fifth the cost of one re-pull from a document-management vendor and a fraction of the hourly cost of a compliance consultant reconstructing the same evidence after the fact. The price buys you something the examiner can verify on the spot.
The same signed inspection packet, plus a printable PDF and supplemental image artifacts carrying an invisible stealth watermark keyed to your trust root. The watermark gives you a second, image-layer chain of custody—useful when the inspection record gets re-screenshotted, re-emailed, or pasted into a third-party document-management system. Measured to stay attached through screenshots, JPEG compression, and scaling (90 of 136 attack vectors survived, false-positive rate zero, SSIM 0.985). Not “uncopyable”—a determined attacker can still strip the watermark—but tamper-evident in the ways FINRA examiners actually care about. MEASURED