Compliance review built on the published rules, updated daily
Key Regulatory reviews marketing and governance documents for SEC-registered investment advisers, FINRA broker-dealers and CFTC commodity firms. It flags issues, quotes the source each finding rests on, and records the human review. A named reviewer decides.
A chatbot answers from memory. A finding here quotes the regulator.
A worked example on the home page contrasts a chatbot's answer with a finding that quotes 17 CFR 275.206(4)-1(a)(2).
Other tools check your policy. We quote the regulator. Example sources:
- The SEC Marketing Rule.
- An SEC staff risk alert.
- A withdrawn SEC no-action letter.
- A CFTC staff letter.
- A Washington state rule.
- An NFA interpretive notice.
How often the sources are updated
Most federal sources are updated daily, some as often as every four hours. State law is updated weekly.
Plans
- Free: 3 scans a month, one seat.
- Starter: $199 a month, 50 scans, three seats.
- Pro: $799 a month, 250 scans, ten seats.
- Export is on every plan.