RegReview / Insurance
RegReview for Life & Annuity Agencies
One agency compliance workspace for marketing review, producer licensing, appointments, CE, calendars, and review records. Also supports insurance carriers and MGAs according to their scope.
Where Insurance compliance breaks down
Producer licensing sprawl
Tracking hundreds of resident/non-resident licenses, appointments, and CE deadlines across 50 states in spreadsheets.
Market conduct exam prep
Assembling 3–7 years of policy files, complaints logs, and rate/form filings under short exam deadlines.
Rate & form filings (SERFF)
Missed refile deadlines when states change requirements or expire filings.
Complaint handling & DOI response
No central log for DOI inquiries, response SLAs, or root-cause tracking.
How RegReview solves it
Smart Calendar
Every state license renewal, CE deadline, appointment renewal, and premium tax filing on one calendar.
AI Compliance Scanner
Enter your NAIC number—AI pulls every state you're admitted in and generates the full filing calendar.
Books & Records
Policy files, complaint logs, and underwriting notes retained per state record-retention rules (typically 3–7 years).
Marketing Review — included workflow
Pre-check life and annuity ads, social posts, seminar invitations, emails, and comparison charts within the agency workspace. State requirements and carrier guidelines vary; your designated reviewer and carrier retain any required final approval.
Questionnaires
Producer annual attestations, background disclosures, and appointment surveys automated.
Audit Prep
Market conduct exam packet generated from stored policy files, complaints, and licensing records.
Producer Licensing module
Producer registry with NPN and resident state, resident/non-resident license grid, carrier appointment and termination matrix by state and line of authority, CE hours per license, and a 90/60/30-day renewal watchlist.
AD/Risk Scanner or RegReview: which do I need?
Choose AD/Risk Scanner for focused, risk-rated reviews. Choose RegReview for the compliance workspace, including marketing review. Life and annuity agencies can use RegReview for both operations and marketing; two subscriptions are not required.
| AD/Risk Scanner | RegReview | |
|---|---|---|
| Main job | Publish and monitor regulated marketing; check portfolio risk | Run the full compliance program |
| Best for | Agents and teams needing focused marketing or investment-portfolio reviews | Life/annuity agencies, RIAs, broker-dealers, funds, and compliance officers needing a full workspace |
| Marketing review | Unlimited reviews, Creator content studio, approval gate | Included as one workflow |
| Portfolio risk scans | Included in every plan | Available through add-ons |
| Registrations, calendars, annual review | Not included | Included |
| Insurance agency operations | Focused marketing pre-checks; not the agency operations workspace | Insurance workspace for licensing, appointments, CE, calendars and included marketing review; module fees depend on plan |
Portfolio risk checks concern investment holdings, not insurance underwriting or policy suitability. Firm review and required carrier approval remain essential. Optional FIN Group setup and human review support are scoped separately.
FAQ
Can RegReview handle both agency operations and marketing review?
Yes. RegReview combines its included marketing-review workflow with compliance calendars, licensing, appointments, CE tracking, and records. For a life or annuity agency that needs both, start with RegReview rather than assuming two subscriptions are required. Module availability and fees depend on the selected plan.
When should an insurance agent choose AD/Risk Scanner instead?
Choose AD/Risk Scanner when you mainly need focused, risk-rated marketing pre-checks rather than a full agency compliance workspace. Its portfolio risk checks concern investment holdings, not insurance underwriting or policy suitability. Neither tool replaces firm review, required carrier approval, or applicable state obligations. Optional FIN Group setup and human review support are scoped separately.
Does RegReview replace NIPR or SERFF?
No. RegReview tracks the deadlines, statuses, and evidence for filings you make in NIPR/SERFF—it's the compliance layer on top of your state filing systems.
Can it handle a multi-state agency?
Yes. Add every state you're admitted in and RegReview generates a merged calendar with per-state filing, license renewal, and CE deadlines.
What about market conduct exam readiness?
The Audit Prep module assembles exam packets from your stored policy files, complaint logs, licensing records, and marketing review history—usually cutting exam-response time by 60–80%.
How much does insurance producer licensing tracking cost?
The Producer Licensing module is $49/month. It is included with the RegReview Insurance version and free on Enterprise plans.
Does it track carrier appointments and terminations?
Yes. Appointments are tracked per producer by state and line of authority, with termination dates and reasons recorded, so you can produce a clean agency roster for a carrier audit or a state DOI request as a CSV export.
How are producer CE hours tracked?
CE is tracked per license with general and ethics hours recorded separately against the state requirement, and producers who are short of hours are flagged on the 90/60/30-day renewal watchlist before the license lapses.
See RegReview for Insurance in action
14-day free trial. No credit card required.