New rules from FINRA move fast. Our AI reads every notice, rule filing, and regulatory update — then tells you exactly what changes, what it means for your practice, and what to do about it.
FINRA issues Regulatory Notices, rule filings, and guidance updates continuously. In 2023 alone, FINRA published over 30 regulatory notices covering topics from complex products to cybersecurity obligations. Keeping current is a compliance requirement — ignorance of a published rule is not a defense in a disciplinary proceeding.
Most compliance teams at mid-size RIAs and broker-dealers lack the bandwidth to read, interpret, and operationalize every FINRA update. This analysis does it for you — extracting exactly what changed, how it applies to your business model, and the specific actions you need to take before the effective date.
Plain-English explanation of what changed, what rule it amends, and the official FINRA notice or SEC filing number.
Specific analysis of how the change affects your firm type — RIA, broker-dealer, or dual registrant — based on your submitted profile.
Prioritized list of steps your compliance team must take — policy updates, supervisory procedure changes, disclosure revisions, or system changes.
Key dates: proposal comment deadline, final rule effective date, and any phase-in periods — mapped to your specific action items.
Regulatory References (FINRA.org)
• FINRA Rulebook — Current Rules & Amendments
• FINRA Regulatory Notices — All Published Notices
• FINRA Rulemaking Process — Proposed Rules & Comment Periods
• FINRA Interpretive Letters — Staff Guidance on Rule Interpretation
Each Regulatory Change Analysis is delivered as a structured PDF brief within 48 hours of your request:
Tell us which rule, notice, or regulatory area you need analyzed. Optionally describe your firm type and current practices.
Our system reads the primary source documents from FINRA.org and SEC.gov, cross-references related rules, and builds your impact assessment.
Within 48 hours you receive a structured PDF brief — ready for your compliance files, CCO review, or board reporting.
Submit a rule change for analysis. Delivered in 48 hours.
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