RegReview Workflow · Personal Securities Trading (PST) Review
Personal trading review for access persons
Quarterly and pre-clearance PST reviews against your restricted list, holding periods, and blackout windows — with a Rule 204A-1 access-person report.
The problem
PST is a quarterly slog: chase 407 letters, match trades against a restricted list, produce a report nobody trusts. One missed trade = an exam finding.
How RegReview solves it
RegReview ingests broker statements and 407 letters, matches every trade against the restricted list and blackout calendar, and generates a signed access-person report.
What the workflow does
Auto-ingest broker feeds
Schwab, Fidelity, Vanguard, IBKR, Merrill, and 407-letter uploads — direct feed or CSV.
Restricted-list matching
Every trade matched against your firm's restricted list at time of trade.
Blackout & holding periods
Enforces IPO blackouts, 60-day holding periods, and firm-defined windows.
Pre-clearance workflow
Access persons submit pre-clearance requests; approvals routed to CCO with audit trail.
204A-1 report
Signed quarterly + annual access-person report ready for the exam file.
New-hire disclosure
New access-person 10-day disclosure captured and matched to first-quarter trades.
What you get
- →Quarterly PST review report per access person
- →Consolidated 204A-1 access-person report (annual)
- →Pre-clearance audit trail with reviewer sign-off
Pricing
$165/mo (up to 5 access persons) · $349/mo (6–15) · $549/mo (16–35) · $45/person/qtr (enterprise)
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See all pricingFAQ
Is this the same as a code of ethics?
PST is a subset of the code of ethics — the trading portion. RegReview handles PST plus code-of-ethics attestations, gifts and entertainment logs, and outside-business-activity approvals in the same workflow.
Can we get pre-clearance on mobile?
Yes — access persons submit pre-clearance from mobile web with instant CCO/designee approval, subject to your firm's SLA.
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.
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.