RegReview · Capability
Filing & Renewal Autopilot
50-state RIA notice filings, IARD renewals, MTL and lender renewals, BD annual filings — tracked, pre-filled, and reminded in one place. Delivered inside RegReview, part of the Compliance OS.
What's inside
50-state coverage
Tracks RIA notice filings, IARD renewals, and 50-state MTL, lender, and BD/SEC renewals — every jurisdiction, every deadline, in one calendar.
Deadline autopilot
Auto-generated filing calendar tuned to your registration type, AUM, custody, and jurisdictions. Reminders escalate to the CCO on miss.
Renewal workflows
Pre-fills ADV amendments, Form U4/U5 updates, MTL renewal packets, and surety-bond notices — you review, sign, and file.
Discrepancy audit
AI cross-checks what you filed against what regulators show on record (IAPD, BrokerCheck, state portals) and flags stale disclosures before an exam does.
Multi-channel reminders
Email, Teams, Slack, and SMS on the cadence you set. Every reminder logs sign-off for exam evidence.
Exam-ready register
Signed PDF of the year's filings, renewals, and discrepancies — attaches to Rule 206(4)-7 annual review and Rule 3120/3130 reports.
FAQ
What is Filing & Renewal Autopilot?
Filing & Renewal Autopilot is the RegReview capability that tracks every regulatory filing and renewal your firm owes, pre-fills the paperwork, and reminds the right person before it's late. It covers RIA notice filings, IARD renewals, 50-state MTL and lender renewals, BD annual filings, and surety-bond notices.
Does it actually file for me?
It pre-fills the packet and routes it for sign-off — you (or your FIN Group consultant on Managed/DFY tiers) submit through IARD, NMLS, or the state portal. That preserves the licensed sign-off regulators expect while cutting prep time by 80–95%.
What's a 'discrepancy audit'?
An AI scan that pulls your public record from IAPD, BrokerCheck, state portals, and NMLS and compares it to what you have on file internally. It flags stale disclosures, mismatched officer records, expired bonds, and missing amendments — the kind of thing regulators open exams on.
How much does it cost?
Included with RegReview Enterprise and with Gold and Platinum consulting tiers. Standalone and multi-jurisdiction pricing is quoted on request — contact us for a scope-based quote.
How is this different from a filing service like FINRA Gateway or a state-registration consultant?
FINRA Gateway is a portal — it doesn't remind, pre-fill, or audit. State-registration consultants do the work manually per filing. Filing & Renewal Autopilot runs continuously in the background so nothing is missed, and it hands complete packets to your consultant or in-house team.