RegReview.ioBeta
AI Compliance Operating System for RIAs, Broker-Dealers & Financial Firms
RegReview is the AI-based operating and reporting system for compliance programs — used by in-house teams and consultants to run registrations, calendars, annual reviews, marketing review, audit prep, and questionnaires from one place. Enter your CRD or upload documents and AI identifies every regulator and auto-generates your task calendar. Available in 8 industry versions: RIA, Brokerage, Insurance, Real Estate, Private Credit, Law Firms, CPA/Accounting, and Fintech & Payments.
8
Industry Versions
8
Jurisdictions
6,000+
Zapier Apps
14-Day
Free Trial
Also used by FIN Group compliance consultants on every engagement — same platform, same evidence trail.
Your compliance stack never sleeps.
Real work happening right now across RegReview, InvestPrep, ADScanner, and our fractional team. Anonymized for client confidentiality.
Watch the Overview
RegReview.io overview in under a minute.
Eight Industry Versions
Each version adapts feature labels and workflows to your industry's regulatory framework.
RIA Review
SEC & State-registered investment advisers. ADV filings, 206(4)-7 reviews, marketing rule compliance.
Brokerage Review
FINRA broker-dealers. Form BD, U4/U5 rep tracking, Rule 3110 supervision, FOCUS reports.
Insurance Review
NAIC-regulated insurers & agents. Policy underwriting, market conduct exam readiness, license & appointment tracking.
Real Estate Review
Mortgage lenders & NMLS-licensed firms. TRID, RESPA/TILA, fair lending, NMLS license tracking.
Private Credit Review
Private credit funds & lenders. Investor disclosures, covenant compliance, portfolio reviews, fund registration.
Law Firm Review
Law firms & legal practices. ABA Model Rules, conflicts checks, trust accounting (IOLTA), client confidentiality, and bar compliance tracking.
NewAccounting / CPA Review
CPA & accounting firms. AICPA SSTS, Circular 230, SQMS 1/2, FTC Safeguards (WISP), PCAOB AS, PTIN/CPE tracking, and engagement letter compliance.
NewFintech & Payments Review
Payment processors, money transmitters, neobanks/BaaS, lending fintechs, and crypto/MSBs. FinCEN/BSA-AML, state MTLs, CFPB/Reg E, OFAC sanctions, NYDFS Part 500, and card network rules.
Dedicated compliance landing pages: Insurance · Mortgage/Real Estate · Law Firms · CPA · Fintech
Platform Features
Everything you need to manage compliance workflows across multiple jurisdictions.
AI Compliance Scanner
Enter your CRD number or upload documents—AI identifies all applicable regulators and generates calendar tasks automatically.
Smart Calendar
All compliance tasks organized by deadline and jurisdiction. Filter by regulator, track progress, and sync with Outlook, Google, or Apple Calendar.
Registration Tracking
Manage multi-jurisdiction registrations across US, UK, Canada, Europe, and Australia with automated status monitoring.
Marketing Review
Submit marketing materials for compliance review with automated FINRA Rule 2210 and SEC advertising rule analysis.
Audit Prep & Document Fixing
Upload auditor letters—AI generates redlined versions showing fixes and clean corrected versions. Track findings with severity levels.
Annual Review Module
AI-generated annual compliance reports covering Rule 206-4-7 and 38-A-1 with severity ratings and actionable recommendations.
Questionnaires & Collection
Collect compliance data from employees and vendors with customizable questionnaires and automated follow-ups.
Document Generator
Generate compliance documents, policies, and procedures tailored to your firm's registration type and jurisdiction.
Disclosure Center
AI-drafted regulatory disclosures (Form ADV Item 9, U4 DRP, Reg S-P, cyber, conflicts, fees) with citations, deadline auto-tasks, and Records linking.
Event-Driven Workflows
Event triggers (new hire, new fund, breach, etc.) spawn obligation checklists with event-relative due dates, complementing the recurring calendar.
Filing & Renewal Autopilot
50-state nexus scanner, renewal calendar, discrepancy/audit reports, and DFY escalation. Included in Enterprise or $99/mo add-on. DFY filings billed per submission ($150–$500).
HR Compliance
$79/mo add-on bundling Employee Register, U4/U5 Tracker, State Registrations, onboarding/offboarding auto-checklists, plus Background Checks, Personal Trading, and CE & Licensing.
AI Governance
AI Input/Output recordkeeping, governance policy, and AI Governance Agent — every AI interaction logged for SEC/FINRA books-and-records.
DOL Rollover Analysis
PTE 2020-02 fiduciary rollover documentation: per-rollover Best Interest analysis (plan vs. IRA), AI-generated rationale, fiduciary acknowledgment & conflicts disclosure, annual retrospective review with Senior Officer certification, self-correction tracker, and 6-year retention. Included free with Professional & Enterprise; $29/mo add-on for Solo & Starter.
Zapier Automations
Connect to 6,000+ apps with triggers like 'Task Due', 'Registration Expiring', and 'Document Uploaded'.
RegReview Workflows
Explore the specific workflows RegReview runs — with rule citations, deliverables, and pricing for each.
Marketing Review
Line-by-line scans of decks, one-pagers, websites, and social posts against SEC 206(4)-1, FINRA 2210, FCA, CSA, and ASIC — with reviewer sign-off.
Email & IM Review
Automated review of Gmail, Outlook, Slack, and Teams for high-risk keywords, guarantees, and undisclosed conflicts — with SEC Rule 17a-4 archiving.
Personal Securities Trading (PST) Review
Quarterly and pre-clearance PST reviews against your restricted list, holding periods, and blackout windows — with a Rule 204A-1 access-person report.
Trade Surveillance
Automated post-trade review against IAA §206, Reg BI, and best-execution obligations — flagging outlier prices, allocation drift, and cross trades.
Annual Compliance Review
RegReview rolls up 12 months of findings from Marketing Review, PST, Email, Trade Surveillance, and Calendar into a signed annual review under Rule 206(4)-7 (RIA) or Rules 3120/3130 (BD).
SEC & State Exam Response
The Exam Response Agent parses your SEC/state document request list into tasks, auto-locates responsive files from the OS, and drafts narratives for CCO review.
How It Works
Get from CRD number to full compliance coverage in minutes.
Enter CRD or Upload
Provide your CRD number, website URL, or upload registration documents.
AI Scans & Identifies
AI identifies all applicable regulators and compliance requirements.
Tasks Generated
Calendar tasks are automatically created with deadlines and jurisdiction assignments.
Stay Compliant
Track progress, complete tasks, and generate audit-ready reports.
Annual Review of Policies & Procedures
See exactly how RegReview produces a board-ready Rule 206(4)-7 / 38a-1 annual review — built from your firm's own tasks, audit findings, marketing reviews, and registration activity over the last 12 months.
Pull the year's data
RegReview auto-aggregates compliance tasks, audit findings, marketing reviews, registration changes, attestations, and questionnaire responses from the review period.
AI risk assessment
Each program area (Marketing Rule, Code of Ethics, Custody, BCP, Cyber, Books & Records) is scored with severity ratings tied to recent SEC and State exam priorities.
Generate the draft report
Produces a Rule 206(4)-7 / 38a-1-formatted document: executive summary, testing performed, findings, remediation status, recommendations, and CCO certification page.
CCO review & redlines
Inline edits, attach exhibits (testing logs, attestations, exception reports), and assign open remediation items to staff inside the platform.
Board / management pack
Auto-generates a slide summary plus a one-page memo for the annual board or management committee meeting.
Archive & schedule next year
Final PDF and workpapers are stored to the firm's Books & Records (5-year retention) and next year's review is auto-scheduled on the compliance calendar.
See the Output
Download a sample Annual Review Report — the same format RegReview generates for RIAs, BDs, and Private Funds.
Jurisdiction Coverage
Multi-jurisdiction compliance tracking across major global regulators.
SEC
United States
FINRA
United States
State Regulators
United States
FCA
United Kingdom
CSA
Canada
ASIC
Australia
AIFMD
Europe
MiFID II
Europe
Three ways to run RegReview
Same platform, three levels of human support. Every task — whether you built it, a consultant scheduled it, or a nudge surfaced it — funnels into one Action Plan.
Remediation Plan
Included with any base plan
You scan, plan, and remediate. Scanner findings (P&P Gap, Marketing, Consistency, Risk) auto-generate a 30/90/annual Remediation Plan with tasks routed to the module that fixes each finding.
Best for: Firms with an in-house CCO or compliance lead.
Reminder Service (RDR)
$199 /mo add-on
A consultant is assigned to your firm account, monitors the Compliance Calendar, offers Q&A, sends personalized email + SMS nudges, and does a monthly check-in. You still execute the tasks.
Best for: Firms that want human accountability without full outsourcing.
Consulting Schedule
From $750 /mo — DFY-E / DFY-S / DFY-P
A consultant (or fractional/outsourced CCO at higher tiers) is assigned to your firm and executes recurring RegReview workflows: reg-change reviews, marketing approvals, gap scans, DOL, cyber, mock exams, and the annual binder.
Best for: Firms outsourcing part or all of the compliance function.
One Action Plan — everything that needs to get done today
Open Remediation Plan tasks + Consulting Schedule items funnel into a single Action Plan. Your team (and your consultant, if you have one) work from the same short list. Shorthand: Plan → Schedule → Do.
Pricing
All plans include a 14-day free trial. Cancel anytime.
🎉 Save 2 months with annual billingSolo
1 user
$79/mo
or $790/yr
- AI-Powered Compliance Scanner
- AI Registration Tracking
- Marketing Review & SEC Compliance
- Annual Review & 206-4-7 Reports
- Audit Prep & Document Fixing
- Document Generator with Templates
- Custom Compliance Calendar
- Calendar Export (Outlook, Google, Apple)
- Multi-Jurisdiction Support (US, Canada, Europe, Australia)
- Website & Social Media Archiving (SEC 204-2)
- Email Support
Starter
Up to 3 users
$149/mo
or $1,490/yr
- Everything in Solo
- Staff & Task Assignment
- Audit Findings Log
- Priority Email Support
Professional
Up to 10 users
$399/mo
or $3,990/yr
- Everything in Starter
- Regulatory Change Monitor (Quarterly AI Scans)
- Continuity Hub (Included)
- Email Archiving (Included)
- DOL Rollover Analysis (Included)
- CE & Licensing Tracker (Included)
- AI Whitelabeled Login Portal
- Enhanced Team Collaboration
- Dedicated Account Manager
Enterprise
Up to 25 users
$999/mo
or $9,990/yr
- Everything in Professional
- Email Archiving (Included, up to 25 users)
- Supervisory Station + Reports (Included)
- AML Review, Policy Reviser, Tax Suite, Private Fund & EDGAR (Included)
- Vendor Management & Due Diligence
- Priority Phone & Email Support
- Dedicated Account Manager
Add FIN Group delivery to any RegReview plan
Layer a FIN Group consultant onto your subscription — you keep the software, we do the work.
DIY
Self-Serve
Included
You run your Remediation Plan and Compliance Calendar. Support via help center + email.
Managed DIY · RDR
Reminder Service
$199/mo add-on
Assigned consultant monitors your calendar, answers Q&A, and sends reminders. You still do the work.
Done For You · DFY
Consulting Schedule
From $750/mo
A FIN consultant operates your RegReview workflows — annual review, marketing, filings, exam prep.
Every open task from your Remediation Plan and Consulting Schedule funnels into one Action Plan.
Enhance Your Plan
Add powerful compliance modules to any tier.
Continuity Hub
$44/mo
Business continuity + departure/succession planning: role & backup assignment, leave mode, AI-generated 30/60/90 succession plan, Form U5 / ADV-W checklist, readiness scoring. Free with Professional & Enterprise.
Email Archiving
$25/user/mo
SEC Rule 204-2 compliant archiving with keyword scanning, review workflows, and 5-year retention. Office 365 & Google Workspace. Free with Professional & Enterprise.
Cyber Monitoring (Firm + 3 Devices)
$135/mo
Firm-wide security posture, endpoint protection on up to 3 user devices, dark web breach alerts, phishing simulation tracking, MFA enforcement, quarterly security assessments.
Additional Cyber Device
$35/user/mo
Per-user endpoint protection for additional devices beyond the included 3.
Compliance Security Bundle
$60/user/mo
Bundled Email Archiving ($25) + Cyber Monitoring ($35) at a single per-seat price.
DOL Rollover Analysis
$29/mo
PTE 2020-02 Best Interest analysis (plan vs. IRA), fiduciary acknowledgment, annual retrospective review with Senior Officer certification, self-correction tracker, 6-year retention. Free with Professional & Enterprise.
Supervisory Station + Reports
$39/mo
Recurring Code of Ethics attestations, training-linked sign-offs, multi-channel notifications, auto-archive to Books & Records (SHA-256 PDFs), Examiner Packet exports. Free with Enterprise.
AML Review
$39/mo
AI AML/BSA risk scans on customer profiles, transactions, onboarding docs, and written AML programs; daily-refreshed OFAC SDN + Consolidated screening with fuzzy name matching. FinCEN IA AML (2028) readiness. Free with Enterprise.
Risk Scanner
$49/mo
Workflow-aware document risk scanning for Insurance, Real Estate / lending (TRID/RESPA/HMDA), Private Credit contracts, and RIA/BD vendor & contract review. Severity-ranked findings with citations. Free with Enterprise.
Private Fund, PE & ERA Compliance
$79/mo
Form PF, ERA Form ADV, investor eligibility (3(c)(1)/3(c)(7)), side letter MFN tracker, custody rule workflow, MNPI wall, fee & expense allocation, Level-3 valuation committee, ILPA LP reporting. Free with Enterprise.
EDGAR Filings Tracker
$29/mo
Nightly EDGAR auto-pull, auto-marks calendar deadlines (ADV/PF/13F/Form D) as Filed, watchlist for competitors and portfolio companies, Form 3/4/5 insider transactions. Free with Enterprise.
Policy Reviser & Auto-Updates
$49/mo
AI-powered single-policy revisions (Word + PDF, OCR), auto-chunking for large policies, one-click 'Propose Policy Updates' from Regulatory Change Monitor, examiner-ready change log. Free with Enterprise.
Tax Compliance Suite
$59/mo
Federal + 50-state tax deadlines, 1099/W-9 workflows, secure tax document vault (7-year retention), scoped CPA portal, two-person rule for bulk exports. Free with Enterprise.
CE & Licensing Tracker
$19/mo
Unified tracker for IAR, Series, insurance, real estate, and bar licenses. Multi-jurisdiction renewal calendar (60/30/7-day alerts), CE hours by category, certificate vault, examiner CSV export. Free with Professional & Enterprise.
Legal Version (Standalone)
$149/mo
Standalone access for solo attorneys and small/mid law firms: ABA Model Rules, CLE deadlines, IOLTA reconciliation, conflict checks, attorney advertising review (Rules 7.1–7.3), ethics-aware AI assistant.
Volume User Packs
Add seats beyond your plan limit at discounted rates.
+1 seats
Single User
$50/mo
$50/user
+5 seats
5-User Pack
$225/mo
$45/user
Save 10%+10 seats
10-User Pack
$400/mo
$40/user
Save 20%+20 seats
20-User Pack
$700/mo
$35/user
Save 30%Multi-Industry Bundles
Save when you operate across multiple regulated industries.
Dual Industry
20% off
Access any 2 product versions
Multi-Industry
30% off
Access any 3 product versions
Full Access
40% off
Access all 8 product versions
Contact us for custom bundle pricing tailored to your firm.
Ready to Streamline Your Compliance?
Start your 14-day free trial today—no credit card required.