Compliance Software Built for Broker-Dealers
Compliance Software Built for Broker-Dealers
Compliance Software Built for Broker-Dealers
If FINRA Called Tomorrow, Would You Be Ready?
If FINRA Called Tomorrow, Would You Be Ready?
If FINRA Called Tomorrow, Would You Be Ready?
Broker-dealers are expected to show supervision, not just describe it.
Regly helps broker-dealers manage advertising reviews, policy enforcement, and supervision across brokerage and non-brokerage activities, while keeping records exam-ready.
Broker-dealers are expected to show supervision, not just describe it.
Regly helps broker-dealers manage advertising reviews, policy enforcement, and supervision across brokerage and non-brokerage activities, while keeping records exam-ready.
Broker-dealers are expected to show supervision, not just describe it.
Regly helps broker-dealers manage advertising reviews, policy enforcement, and supervision across brokerage and non-brokerage activities, while keeping records exam-ready.
✔ Supports SEC Rule 17a-4
✔ FINRA Rules 2210 & 4510 aligned
✔ Built by former compliance practitioners
✔ Supports SEC Rule 17a-4
✔ FINRA Rules 2210 & 4510 aligned
✔ Built by former compliance practitioners
✔ Supports SEC Rule 17a-4
✔ FINRA Rules 2210 & 4510 aligned
✔ Built by former compliance practitioners
As seen on:
As seen on:
As seen on:
Benefits
The Compliance Management Platform Broker-Dealers Rely On
Regly was built by compliance professionals who understand the supervisory and compliance programs for broker-dealers.
Designed around real regulatory workflows, it helps firms move beyond spreadsheets and disconnected tools toward a single record system.
Advertising & Communications Review (FINRA 2210)
Review, approve, and track marketing and client communications in line with FINRA Rule 2210.
Advertising & Communications Review (FINRA 2210)
Review, approve, and track marketing and client communications in line with FINRA Rule 2210.
Advertising & Communications Review (FINRA 2210)
Review, approve, and track marketing and client communications in line with FINRA Rule 2210.
Supervision Across Brokerage & Outside Activities
Monitor and document supervision for communications and activities both inside and outside brokerage accounts, with clear oversight and review trails.
Supervision Across Brokerage & Outside Activities
Monitor and document supervision for communications and activities both inside and outside brokerage accounts, with clear oversight and review trails.
Supervision Across Brokerage & Outside Activities
Monitor and document supervision for communications and activities both inside and outside brokerage accounts, with clear oversight and review trails.
Built by FINRA Compliance Experts
Regly combines over decades of compliance experience with AI-driven tools designed to work to meet your team's needs.
Built by FINRA Compliance Experts
Regly combines over decades of compliance experience with AI-driven tools designed to work to meet your team's needs.
Built by FINRA Compliance Experts
Regly combines over decades of compliance experience with AI-driven tools designed to work to meet your team's needs.
Solutions
Compliance Designed for Broker-Dealer Operations
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
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.
Our Story
Why Regly?
Why Regly?
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+
Fintech companies contributed real-world insights that shaped Regly’s processes
Fintech companies contributed real-world insights that shaped Regly’s processes
30+
30+
Global regulatory experts built Regly with compliance and fincrime expertise
Global regulatory experts built Regly with compliance and fincrime expertise
2+
2+
Years of development focused on rigorous real-world testing before launch
Years of development focused on rigorous real-world testing before launch
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.
Benefits
The Compliance Management Platform Broker-Dealers Rely On
Regly Compliance was built by compliance officers who understand the challenges you face. Designed for real-world workflows, it combines our expertise with AI models to centralize and streamline compliance management for your company.
Save Hours with Automation
Eliminate manual tasks like chasing attestations or reviewing marketing content from scratch so your team can focus on strategic work.
Save Hours with Automation
Eliminate manual tasks like chasing attestations or reviewing marketing content from scratch so your team can focus on strategic work.
Centralize Your Compliance Work
Replace scattered spreadsheets and disorganized files with one platform that brings all your compliance workflows together for better efficiency.
Centralize Your Compliance Work
Replace scattered spreadsheets and disorganized files with one platform that brings all your compliance workflows together for better efficiency.
Built by Compliance Experts
Regly combines over a decade of compliance experience with AI-driven tools designed to work to meet your team's needs.
Built by Compliance Experts
Regly combines over a decade of compliance experience with AI-driven tools designed to work to meet your team's needs.
Solutions
Compliance Tools Designed for
Broker-Dealers
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Our Story
Why Regly?
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+
Fintech companies contributed real-world insights that shaped Regly’s processes
30+
Global regulatory experts built Regly with compliance and fincrime expertise
2+
Years of development focused on rigorous real-world testing before launch
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.
The Reality of
Broker-Dealer
Compliance
Why You Need a Compliance System
A FINRA exam requires firms to produce marketing materials, supervision logs, policies, approvals, and records for a defined review period. How quickly and clearly you can respond often influences the scope and direction of the exam. This is a standard part of operating as a FINRA-regulated broker-dealer.
WITHOUT A SYSTEM
-Teams scramble to locate records across emails, spreadsheets, and shared drives -Different teams produce inconsistent or conflicting information -Manual searches slow down exam responses -Context behind reviews and decisions is difficult to reconstruct -FINRA Exams become reactive fire drills
WITHOUT A SYSTEM
-Teams scramble to locate records across emails, spreadsheets, and shared drives -Different teams produce inconsistent or conflicting information -Manual searches slow down exam responses -Context behind reviews and decisions is difficult to reconstruct -FINRA Exams become reactive fire drills
WITH REGLY
-Compliance opens a single system of record -Records are consistent and centrally managed -Evidence is quickly filtered by date, representative, channel, or reviewer -Reviews, approvals, and decisions are documented in real time -Exam responses are structured, timely, and defensible
WITH REGLY
-Compliance opens a single system of record -Records are consistent and centrally managed -Evidence is quickly filtered by date, representative, channel, or reviewer -Reviews, approvals, and decisions are documented in real time -Exam responses are structured, timely, and defensible
The Reality of Broker-Dealer Compliance
Why You Need a Compliance System
A FINRA exam requires firms to produce marketing materials, supervision logs, policies, approvals, and records for a defined review period. How quickly and clearly you can respond often influences the scope and direction of the exam. This is a standard part of operating as a FINRA-regulated broker-dealer.
Without a System
✘ Teams scramble to locate records across emails, spreadsheets, and shared drives ✘ Different teams produce inconsistent or conflicting information ✘ Manual searches slow down exam responses ✘ Context behind reviews and decisions is difficult to reconstruct ✘ Records required under ✘ FINRA Rule 4510 are scattered across systems and difficult to produce quickly ✘ Marketing risk is harder to manage without a structured advertising review process (FINRA Rule 2210)
Without a System
✘ Teams scramble to locate records across emails, spreadsheets, and shared drives ✘ Different teams produce inconsistent or conflicting information ✘ Manual searches slow down exam responses ✘ Context behind reviews and decisions is difficult to reconstruct ✘ Records required under ✘ FINRA Rule 4510 are scattered across systems and difficult to produce quickly ✘ Marketing risk is harder to manage without a structured advertising review process (FINRA Rule 2210)
With Regly
✔️ Compliance activity is centralized in one place ✔️ Records are consistent and centrally managed ✔️ Evidence is quickly filtered by date, representative, channel, or reviewer ✔️ Reviews, approvals, and decisions are documented in real time ✔️ Exam responses are structured, timely, and well documented ✔️ Records are centrally retained and accessible in line with FINRA Rule 4510 (Books and Records) ✔️AI-assisted advertising reviews help identify and manage risks related to FINRA Rule 2210
With Regly
✔️ Compliance activity is centralized in one place ✔️ Records are consistent and centrally managed ✔️ Evidence is quickly filtered by date, representative, channel, or reviewer ✔️ Reviews, approvals, and decisions are documented in real time ✔️ Exam responses are structured, timely, and well documented ✔️ Records are centrally retained and accessible in line with FINRA Rule 4510 (Books and Records) ✔️AI-assisted advertising reviews help identify and manage risks related to FINRA Rule 2210
Supporting
Broker-Dealer Regulatory Compliance
Broker-dealers must prove their policies are enforced, supervised, and audit-ready under SEC and FINRA rules.
Regly connects policies, oversight, and evidence in one system, turning written requirements into documented, exam-ready execution.
Broker-dealers must prove their policies are enforced, supervised, and audit-ready under SEC and FINRA rules.
Regly connects policies, oversight, and evidence in one system, turning written requirements into documented, exam-ready execution.
Regulation
SEC Rule 17a-4
SEC Rule 17a-3
SEC Rule 17a-3
SEC Rule 17a-3
FINRA Rule 2210
What Regulators Expect
Timely creation of accurate records related to broker-dealer activities
Secure retention, indexing, and accessibility of records for required retention periods
Creation, preservation, and retention of required records for regulatory timeframes
Written supervisory procedures and evidence that supervision is actively enforced
Review, approval, and supervision of communications with the public
How Regly Supports Your Program
Centralized workflows capture reviews, approvals, and supervision as records when they occur.
Structured record storage with searchable indexing and consistent retention.
A single system that preserves compliance records across teams and time periods.
Policies, WSPs, and supervision logs are linked and traceable in one system.
Advertising reviews, approvals, and reviewer actions are documented across campaigns and channels.
Schedule a Demo Today
See how Regly supports real broker-dealer workflows, from advertising review to exam response. Our team will walk you through how firms use Regly as a centralized compliance system to stay organized, consistent, and exam-ready.