RegReview Workflow · Annual Compliance Review
Rule 206(4)-7 annual review, assembled automatically
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).
The problem
Annual reviews are a scramble in Q4 — CCOs stitch findings from five different tools and drafts, hope nothing was missed, and sign a report that could take days to defend in an exam.
How RegReview solves it
RegReview keeps a live findings register across every workflow. At year-end, the Annual Review Agent drafts the report with 12 months of evidence pre-linked and CCO sign-off.
What the workflow does
Live findings register
Every finding from every workflow tagged by risk area, severity, and remediation status.
12-month roll-up
Findings grouped by risk area (marketing, trading, custody, PST, cybersecurity, etc.).
Draft narrative
Annual Review Agent drafts the CCO narrative with cited findings — CCO edits and signs.
3120/3130 for BDs
For BDs, the same rollup produces the 3120 supervisory system test and the 3130 CEO certification package.
AML testing
Rule 3310 AML independent testing scoped and delivered as part of the annual review.
Signed PDF + evidence
Delivered as a signed PDF with linked evidence files for the exam binder.
What you get
- →Signed 206(4)-7 annual review (RIA)
- →3120 supervisory system test + 3130 CEO cert (BD)
- →Rule 3310 AML independent testing report (BD)
Pricing
Included with Gold ($3,500/mo) and Platinum consulting tiers · Standalone $4,500/year
Powered by RegReview + FIN Group
See all pricingFAQ
Do you also test the review itself?
Yes — for firms on Platinum, an independent FIN Group consultant tests the review before CCO signs. For Gold, the review is drafted by RegReview and signed by the firm's CCO.
Can we use last year's review as a starting point?
Yes — the Annual Review Agent seeds the year-over-year narrative from prior reports, so you're editing, not rewriting.
Other RegReview workflows
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.
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.