Regly Compliance

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?

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

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.

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.

Request Demo

Solutions

Compliance Designed for Broker-Dealer Operations

Marketing Compliance

Policy Management

Employee Compliance

Vendor Management

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.

Learn More

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

Regly Logo
InnReg Logo

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.

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.

Request Demo

Solutions

Compliance Tools Designed for
Broker-Dealers

Marketing Compliance

Policy Management

Employee Compliance

Vendor Management

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.

Learn More

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

Regly Logo
InnReg Logo
Regly Logo
InnReg Logo

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

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

See How Regly Supports Exam Readiness

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)

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

See How Regly Supports Exam Readiness

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.

Talk to a Compliance Expert

Talk to a Compliance Expert

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.