Overlapping regulatory sources
Updates may come from the SEC, FINRA, FinCEN, state securities regulators and other authorities, each using different publication channels.
RegWatch for Broker-Dealers and Investment Advisers
Stay ahead of regulatory change across broker-dealer and investment adviser operations.
Monitor the SEC, FINRA, state securities, privacy, financial crime and recordkeeping sources your firm selects. When something changes, RegWatch helps your team see the source, dates, affected topics and areas that may require review.
No credit card required for the free monitoring account.
Regulatory change command center
SEC Rules & Guidance
FINRA Rules & Notices
Investment Advisers Act
Regulation Best Interest
Regulation S-P
Books & Records
BSA/AML
State Securities Rules
Why RegWatch
Securities compliance spans regulators, registrations and business models.
Broker-dealers and investment advisers may follow overlapping federal, self-regulatory and state requirements. RegWatch brings selected rulemaking, notices, guidance and examination materials into a consistent monitoring and review process.
Different obligations by firm type
Broker-dealers, SEC-registered advisers, state-registered advisers and dual registrants may need different watchlists and review owners.
Supervisory documents must stay current
Written supervisory procedures, compliance manuals, privacy policies and disclosures may need review when selected requirements change.
High-volume notices and guidance
Rules, notices, risk alerts, FAQs and examination priorities can create noise without a practical way to organize what matters.
Monitoring Coverage
Build a watchlist around your registrations, services and client relationships.
Select the federal, self-regulatory and state sources that matter to your firm. Available coverage depends on the monitors and sources selected.
SEC rules and examination materials
Selected SEC rulemaking, releases, risk alerts, staff statements and compliance resources relevant to broker-dealers and investment advisers.
FINRA rules and notices
Selected FINRA rulebook changes, regulatory notices, guidance and supervisory topics for member firms.
State securities requirements
Selected state registration, notice filing, representative, advertising and books-and-records materials relevant to the jurisdictions your firm chooses.
Client privacy and information safeguards
Selected Regulation S-P, identity theft, cybersecurity and customer-information materials that may affect safeguards and incident-response procedures.
Conduct, disclosure and communications
Selected materials involving Regulation Best Interest, Form CRS, adviser marketing, communications and sales-practice obligations.
Financial crime and recordkeeping
Selected FinCEN, OFAC, books-and-records and retention sources relevant to the firm’s activities and regulatory status.
Monitor availability and applicability vary by source, jurisdiction and organization. Your team chooses the watchlist it wants RegWatch to follow.
How RegWatch Works
Move from “something changed” to a focused review process.
Select your monitors, receive organized change intelligence and optionally connect policies or procedures for gap assessment.
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1
Select your monitors
Choose the agencies, regulations, standards, licensing sources and jurisdictions that matter to your operations.
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2
Review focused change summaries
See what changed, important dates, affected requirements, source links and suggested review areas.
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3
Connect documents when useful
Upload and assign relevant policies, procedures, plans or control documents to the monitors they support.
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4
Assess gaps and document action
Review potential gaps, ownership, next steps and supporting evidence in a consistent workflow.
Illustrative workflow
New Update
A change is detected. Your team sees the context.
1
Monitor
Selected source
Actively monitoring
RegWatch follows the rule, bulletin, manual, guidance or licensing source your team selects.
2
Detect
Change identified
Change Alert Detected
Securities Regulatory Update
New
+
Requirement updated
Source captured and compared with the previous version.
The update is captured, summarized and organized so reviewers can focus on what changed.
3
Review
Context delivered
RegWatch Review
Ready for your team
Ready
SummaryWhat changed
Key datesWhen it matters
PoliciesWhat to review
Next stepsWho owns action
Assigned to compliance, operations and legal reviewers
Your team receives a focused review package instead of another unstructured alert.
Built for Securities Firms
One monitoring approach for firms with different registrations and lines of business.
RegWatch can support compliance teams that need distinct watchlists for broker-dealer, advisory, branch, product and jurisdictional obligations without forcing every reviewer into the same queue.
Create your free monitoring account
Retail broker-dealers
Independent broker-dealers
SEC-registered investment advisers
State-registered investment advisers
Dual registrants
Securities compliance and supervision teams
What Your Team Gains
A more manageable way to stay aware, assess impact and document follow-through.
Less manual monitoring
Reduce repeated searches across individual regulator, agency and standards websites.
More focused reviews
Give owners the source, dates, affected topics and review context in one place.
Better document alignment
Connect selected requirements with the policies, procedures and plans your team relies on.
A clearer audit trail
Keep regulatory updates, assessments, review activity and supporting evidence organized.
Frequently Asked Questions
Securities regulatory monitoring, organized for review.
Start with selected regulatory sources, then connect supervisory and compliance documents when useful.
Talk to AllgressWhich securities sources can RegWatch monitor?
Organizations can select relevant SEC, FINRA, FinCEN, OFAC and state securities sources, along with selected privacy, cybersecurity and recordkeeping materials. Available coverage depends on the monitors and sources selected.
Can broker-dealer and adviser teams use separate watchlists?
Yes. Watchlists can be organized around registration type, legal entity, business line, jurisdiction or internal ownership so different teams can focus on the sources they oversee.
Can we use RegWatch without uploading supervisory procedures?
Yes. Regulatory monitoring and change summaries can be used without policy uploads. Uploading written supervisory procedures, compliance manuals or related documents is optional.
How does policy assessment support securities firms?
Your team can assign uploaded procedures or policies to selected monitors. When a monitored source changes, RegWatch can identify areas that may require review, clarification or remediation.
Does RegWatch determine whether a rule applies to our firm?
No. Your organization determines applicability. RegWatch provides regulatory intelligence and workflow support and does not provide legal or compliance advice.
Start with the sources that matter to you
Make securities regulatory monitoring easier to manage.
Create a free RegWatch account and begin building a watchlist around the sources your firm selects.