RegReview.io — AI Compliance Operating SystemBeta
AI Compliance Operating System for RIAs, Broker-Dealers & Financial Firms
The AI-based operating and reporting system for compliance programs — registrations, calendars, annual reviews, marketing review, audit prep, and questionnaires in one place. Enter your CRD or upload documents and AI maps every regulator and builds your task calendar. Eight industry versions.
8
Industry Versions
8
Jurisdictions
6,000+
Zapier Apps
14-Day
Free Trial
Used by FIN Group 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
Feature labels and workflows adapt 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
Setup support plus 16 core workflows included on every plan — across every jurisdiction.
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; standalone pricing on request. 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.
Exam Request Binder
Import an examiner document request list, map each numbered item to records, and export an indexed production with a gap report showing what is still missing.
Upload Center
One intake for every document — route files to AI scanning, human consultant review, or long-term storage in your Rule 204-2 records library.
E-Signatures
Send policies, attestations, and supervisory sign-offs for signature from your own email domain, with executed copies filed back to Records automatically.
Entity Filings
Corporate registered-agent, annual report, and state entity filing tracking across a 50-state catalog — the corporate side of staying in good standing.
Vendor Risk Management
Third-party due diligence, risk scoring, privacy and data-protection reviews, and incident tracking — evidence for Reg S-P and cybersecurity exam modules.
Financial Reporting & Net Capital
Import a trial balance and produce GAAP-formatted P&L, balance sheet, and regulatory capital tests (Rule 15c3-1 net capital, RIA balance-sheet requirements) with branded PDF and XLSX exports.
Zapier Automations
Connect to 6,000+ apps with triggers like 'Task Due', 'Registration Expiring', and 'Document Uploaded'.
RegReview Workflows
Rule citations, deliverables, and pricing for each workflow.
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.
Already pay for Claude, OpenAI, or Gemini? Run RegReview on it.
Connect your firm's existing AI subscription and RegReview runs its workflows on your own model — with firm context, rule citations, human review, and one audit trail. Model-agnostic, no extra cost.
Anthropic (Claude)
Sonnet, Opus, or Haiku for fast passes
- Paste your key once
- Pick a default model
- Verified before it goes live
OpenAI
GPT-class and reasoning models
- Project or org keys supported
- Per-workflow model choice
- Test and revoke anytime
Google Gemini
Pro for depth, Flash for speed
- AI Studio keys supported
- Same governance log
- No vendor lock-in
Use the spend you already have
Route compliance work through the AI subscription your firm already pays for — no duplicate per-seat AI fees.
Keys stay sealed
Encrypted at rest with AES-GCM, held server-side, never returned to the browser, revocable in one click.
One audit trail
Provider, model, prompt, output, and reviewer captured in your AI Governance log — whichever model ran it.
Model-agnostic by design
Swap providers per workflow as models change. Your policies, citations, and review gates stay identical.
Workflows you can point at your own key
Keys are encrypted at rest with AES-GCM, never returned to the browser, and can be tested or revoked at any time. Every run — platform model or your own — is written to your AI Governance log with the provider, model, prompt, and reviewer recorded. Model names appear for identification only; no affiliation, endorsement, or integration with any model provider is implied.
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
A board-ready Rule 206(4)-7 / 38a-1 annual review, built from your own tasks, findings, marketing reviews, and registration activity.
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 + Supervision, incl. Supervisory Suite (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 + Supervision (Included, up to 25 users)
- Supervisory Suite + Reports (Included with archiving)
- 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 + Supervision
$29/user/mo
SEC Rule 204-2 compliant archiving with keyword scanning, review workflows, and 5-year retention. Office 365 & Google Workspace. Now includes the full Supervisory Suite — Station triage dashboard, attestation campaigns, and scheduled examiner-ready reports — at no extra charge. 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 + Supervision ($29) + 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 Suite
Included with Email Archiving
No longer sold separately — the Supervisory Station triage dashboard, recurring Code of Ethics attestations, training-linked sign-offs, multi-channel notifications, auto-archive to Books & Records (SHA-256 PDFs), and Examiner Packet exports are included with Email Archiving + Supervision ($29/user/mo). Also 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.
HR Compliance Bundle
$79/mo
People-compliance hub: Employee Register, state-by-state rep registrations, Form U4/U5 filing workflow, attestation campaigns, training completions, supervision assignments, and auto-spawned onboarding/offboarding checklists. Bundles Background Checks, Personal Trading Monitor, and CE & Licensing (~$117 standalone value). Free with Enterprise.
Personal Trading Monitor
$49/mo
Rule 204A-1 / FINRA 3210 personal securities review: access-persons registry, initial/quarterly/annual holdings reports with e-attestation, pre-clearance queue, restricted list, AI-parsed brokerage statements, short-swing and late-report flags, examiner-ready CCO sign-off. Free with Enterprise.
Background Checks
$39/mo
FCRA-compliant employee background checks: disclosure/authorization e-consent, OFAC SDN + Consolidated cross-check, adjudication workflow, AI-drafted pre-adverse and final adverse action notices (FCRA §615). CRA pass-through fees billed per check. Free with Enterprise.
Producer Licensing
$49/mo
Insurance-focused licensing hub: producer appointments by carrier and line of authority, state-by-state renewal calendar, CE linkage, and termination tracking. Free with Enterprise.
Form D Data
$19/mo
Reg D offering data feed for fund marketing and prospecting — searchable Form D filings, issuer and offering detail, CSV export and API access. $29/mo as a standalone subscription. Watchlist email alerts on new filings and Rule 503(a) delinquency, CSV exports up to 5,000 rows, and read-only API keys.
Filing & Renewal Autopilot
$59/mo
50-state nexus scanner, renewal calendar, discrepancy and audit reports, and DFY escalation. Included with Enterprise; DFY filings billed per submission ($150–$500).
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.
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