RegReview Workflow · SEC & State Exam Response
Turn a document request list into a routed workflow
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.
The problem
An SEC or state exam letter arrives with 40 numbered document requests due in 10 days. Compliance teams spend nights hunting for files that live in five different systems.
How RegReview solves it
RegReview parses the DRL, matches each numbered item to files already in the OS (marketing, PST, trades, calendar, testing), drafts a narrative response, and routes to CCO for sign-off.
What the workflow does
DRL parsing
Upload the exam letter. Each numbered request becomes a task with owner + due date.
Auto-locate from OS
Marketing pieces, PST reports, calendar entries, testing files auto-attach to the matching request.
Narrative drafting
For narrative requests (policies, procedures, oversight), the agent drafts a response citing your ADV, WSPs, and testing.
Reviewer routing
Every draft routes to CCO for edit + sign-off with a full audit trail.
Exam-file bundle
Final response delivered as an indexed PDF bundle mirroring the DRL numbering.
Post-exam remediation
Findings from the exam letter roll into RegReview as remediation tasks with owner + due date.
What you get
- →Indexed exam response bundle (DRL-numbered)
- →Post-exam remediation plan with tasks + due dates
- →Deficiency-letter response drafting
Pricing
Retainer $1,500 setup + $500/mo during exam · Included with Platinum consulting
Powered by RegReview + FIN Group
See all pricingFAQ
Is this for surprise custody exams too?
Yes — surprise-custody exams under Rule 206(4)-2 use the same workflow, scoped to the custody rule request items.
Can FIN Group represent us in the exam?
FIN Group consultants sit in as compliance support during exam interviews. Legal representation requires counsel — we coordinate directly with your outside counsel.
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.
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).