Real-time regulatory monitoring and draft updates from SEC, FINRA, and your state insurance board — built for solo RIAs who became advisors, not lawyers.
Select your firm type and size to see a personalized regulatory briefing — real actions, real impact, real time saved.
Agents ingest SEC, FINRA, NAIC, state insurance commissioner, and FINCEN feeds continuously. New rules trigger workflows within minutes of publication.
When a rule changes, the agent maps it against your client roster, disclosure templates, and product types to determine exactly what needs updating and for whom.
The agent writes the updated disclosure language, applies it to the right templates, and queues the amendment for your review. No more manually rewriting disclosures from scratch.
Email and dashboard alerts with a clear summary: what changed, what needs action, what the deadline is. Human review only where required by regulation.
Missing a single SEC rule update can trigger enforcement action. Insurance producers who fail to update suitability disclosures face license suspension. The cost of a compliance violation dwarfs the cost of prevention — yet most firms still rely on manually checking regulatory bodies, reading dense rule documents, and rewriting disclosures by hand.
RegAxis exists because humans can't monitor 47 regulatory sources every day. An AI agent can.
Every day your compliance is reactive is a day your firm carries unnecessary risk. The next SEC ruling, NAIC update, or state bulletin will arrive — and you'll either have an agent watching for it, or you'll be the last to know.