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This is what your
RegAxis agent monitors 24/7.

Real regulatory actions from SEC, FINRA, and NAIC — parsed, scored, and turned into recommended actions. This is exactly what your agent sees, the moment each rule drops.

0
Actions in last 24 hrs
across all 3 regulators
0
Flagged action-required
HIGH urgency items
0
Total actions monitored
in database
SEC · FINRA · NAIC
Regulators covered
30 SEC · 0 FINRA · 0 NAIC
Filter: Practice:
SEC Informational
Aug 8, 2026
SEC Announces Continuation of Small Business Advisory Committee Meeting
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Aug 8, 2026
SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
Affects: Regulated entities — High impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
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SEC Informational
Jul 30, 2026
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Seeks Public Comment on Novel Exchange-Traded Funds
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Names Paul Knight as Chief Operating Officer
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Forms New Retail Fraud Working Group
Affects: Regulated entities — High impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
Founding 100
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SEC Informational
Jul 30, 2026
SEC Small Business Advisory Committee to Explore Modernizing Market Access
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
Affects: RIAs and investment advisers — Moderate impact for regulated advisers.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon
Affects: Regulated entities — High impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
Founding 100
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Founding seats are limited. Lock in $49/mo for life — before seats run out.
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SEC Informational
Jul 30, 2026
SEC Announces Roundtable on Preparations for 24-Hour Trading
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 30, 2026
Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jul 15, 2026
SEC Announces New Members of Small Business Capital Formation Advisory Committee
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Action Required
Jul 15, 2026
SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review Form ADV for required disclosures triggered by this rule change
  • Notify compliance officer and schedule firm-wide policy update within 30 days
  • Document response in compliance log with reference to this SEC action
SEC Review Needed
Jul 15, 2026
SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
Founding 100
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Founding seats are limited. Lock in $49/mo for life — before seats run out.
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SEC Informational
Jul 15, 2026
SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
Affects: Regulated entities — Moderate impact for regulated entities.
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Action Required
Jun 27, 2026
SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
Affects: SEC-registered investment advisers, broker-dealers, and other regulated entities subject to SEC enforcement actions and settlement proceedings.
RIA BD
What your RegAxis agent would do
  • Review Form ADV for required disclosures triggered by this rule change
  • Notify compliance officer and schedule firm-wide policy update within 30 days
  • Document response in compliance log with reference to this SEC action
SEC Review Needed
Jun 27, 2026
SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
Affects: Public companies conducting registered offerings with the SEC, as the proposed amendments directly impact how these entities structure, report, and execute their capital-r…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jun 27, 2026
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
Affects: Registered Investment Advisers (RIAs) and broker-dealers operating in overlapping securities and futures markets, as the SEC-NFA MOU directly impacts firms subject to dual…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jun 27, 2026
SEC Investor Advisory Committee to Host June 4 Meeting
Affects: RIAs and broker-dealers, as the SEC Investor Advisory Committee meeting will address private markets and passive index funds, directly impacting investment advisers and se…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
Founding 100
Want this for YOUR practice?
Founding seats are limited. Lock in $49/mo for life — before seats run out.
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SEC Informational
Jun 27, 2026
SEC Proposes Rescission of Climate-Related Disclosure Rules
Affects: Public companies, including those overseen by broker-dealers and RIAs, that are required to include climate-related disclosures in their SEC registration statements and an…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jun 27, 2026
SEC Announces Four New Members of Investor Advisory Committee
Affects: This announcement primarily affects RIAs and registered investment advisers, as the SEC's Investor Advisory Committee provides recommendations that directly influence regu…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jun 27, 2026
SEC Publishes Draft Strategic Plan for Public Comment
Affects: This SEC Draft Strategic Plan primarily affects Registered Investment Advisers (RIAs) and broker-dealers, as both are subject to the Commission's core investor protection …
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Informational
Jun 25, 2026
SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme
Affects: Broker-dealers, RIAs, and investment advisers who must ensure strict information barriers and compliance controls to prevent insider trading violations stemming from misap…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
SEC Review Needed
Jun 24, 2026
SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
Affects: Registered investment advisers (RIAs) and broker-dealers who advise or facilitate pooled employer plans (PEPs) for small business retirement planning under federal securit…
RIA BD
What your RegAxis agent would do
  • Review the full SEC release and assess applicability to your firm
  • Log this action in your compliance calendar for quarterly review
  • Share summary with compliance team for awareness
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