Checklist
2026 FINRA Exam Readiness Checklist
2026 FINRA Exam Readiness Checklist
2026 FINRA Exam Readiness Checklist
Download the 2026 FINRA Exam Readiness Checklist. A practical guide for broker-dealers to prepare for FINRA examinations. Covers advertising & marketing compliance, supervision, recordkeeping, and regulatory documentation expectations.
Download the 2026 FINRA Exam Readiness Checklist. A practical guide for broker-dealers to prepare for FINRA examinations. Covers advertising & marketing compliance, supervision, recordkeeping, and regulatory documentation expectations.
Download the 2026 FINRA Exam Readiness Checklist. A practical guide for broker-dealers to prepare for FINRA examinations. Covers advertising & marketing compliance, supervision, recordkeeping, and regulatory documentation expectations.
As seen on:
As seen on:
As seen on:
Inside the Checklist
Advertising & Marketing Review
Advertising & Marketing Review
What FINRA examiners look for in advertising and client communications, including pre-approval, disclosures, performance claims, and recordkeeping under FINRA Rule 2210.
What FINRA examiners look for in advertising and client communications, including pre-approval, disclosures, performance claims, and recordkeeping under FINRA Rule 2210.
Supervision & Governance
Supervision & Governance
Clear, defensible supervisory structures for exams.
Includes WSPs, approval workflows, escalation paths, and evidence of ongoing supervision.
Centralize workflows for policy approvals, tasks, and team collaboration.
Handle employee training, attestations, and vendor due diligence in one streamlined platform.
Books, Records & Retention
Books, Records & Retention
Audit-ready documentation aligned with FINRA recordkeeping rules.
Covers retention requirements, version control, and approval histories.
Audit-ready documentation aligned with FINRA recordkeeping rules.
Covers retention requirements, version control, and approval histories.
Exam Readiness & Regulatory Requests
Exam Readiness & Regulatory Requests
Be prepared before FINRA exam requests arrive.
Guidance on responding to requests, organizing evidence, and tracking examiner questions.
Be prepared before FINRA exam requests arrive.
Guidance on responding to requests, organizing evidence, and tracking examiner questions.
Our Story
From Manual to Automated Compliance
From Manual to Automated Compliance
From Manual to Automated Compliance
Regly isn’t just another compliance software. It’s the result of over a decade of hands-on experience in the world of regulatory compliance.
Born out of InnReg, a compliance consulting and outsourcing firm trusted by 100+ fintech companies since 2013, Regly was built to simplify complex compliance challenges.
Not all software is built for compliance. We’ve created Regly based on actual data from years of hands-on experience with regulatory exams, compliance reviews, policies and procedures development, risk mitigation, and more.
This is compliance software built by compliance experts, designed to make compliance accessible to everyone.
Regly isn’t just another compliance software. It’s the result of over a decade of hands-on experience in the world of regulatory compliance.
Born out of InnReg, a compliance consulting and outsourcing firm trusted by 100+ fintech companies since 2013, Regly was built to simplify complex compliance challenges.
Not all software is built for compliance. We’ve created Regly based on actual data from years of hands-on experience with regulatory exams, compliance reviews, policies and procedures development, risk mitigation, and more.
This is compliance software built by compliance experts, designed to make compliance accessible to everyone.
Regly isn’t just another compliance software. It’s the result of over a decade of hands-on experience in the world of regulatory compliance.
Born out of InnReg, a compliance consulting and outsourcing firm trusted by 100+ fintech companies since 2013, Regly was built to simplify complex compliance challenges.
Not all software is built for compliance. We’ve created Regly based on actual data from years of hands-on experience with regulatory exams, compliance reviews, policies and procedures development, risk mitigation, and more.
This is compliance software built by compliance experts, designed to make compliance accessible to everyone.
100+
100+
100+
Fintech companies contributed real-world insights that shaped Regly’s processes
Fintech companies contributed real-world insights that shaped Regly’s processes
Fintech companies contributed real-world insights that shaped Regly’s processes
30+
30+
30+
Global regulatory experts built Regly with compliance and fincrime expertise
Global regulatory experts built Regly with compliance and fincrime expertise
Global regulatory experts built Regly with compliance and fincrime expertise
2+
2+
2+
Years of development focused on rigorous real-world testing before launch
Years of development focused on rigorous real-world testing before launch
Years of development focused on rigorous real-world testing before launch
Turn your checklist into action.
See how Regly transforms the tasks in this checklist into a streamlined, efficient, and automated process that gives your team control and clarity.
Built for compliance teams who want to scale without the manual overhead.