Identify advertising rule violations, missing disclosures, and deficiency risks before your next SEC examination.
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Website states "AI-powered returns" without required disclosure of methodology, data sources, or performance calculation methodology per SEC Rule 206(4)-7.
SEC Rule 206(4)-7 (Compliance Rule)
Client testimonials present without required "past performance does not guarantee future results" disclaimer.
SEC Rule 206(4)-1 (Advertising Rule)
Required Form ADV Part 2A disclosure not easily accessible from homepage.
SEC Rule 204-3
+2 additional findings in full report
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Firm submits Form ADV or key firm details for analysis.
ReguScan scans for common SEC deficiency risks: ADV inconsistencies, Marketing Rule issues, disclosure gaps, books & records risks.
A structured risk summary report is generated with prioritized findings.
Report delivered within 24 hours with remediation guidance.
Under SEC Rule 206(4)-7, RIAs must maintain written policies and procedures reasonably designed to prevent violations. Examiners frequently identify deficiencies in Form ADV disclosures, marketing materials, and books and records. Detecting these issues prior to an examination reduces the likelihood of deficiency letters or corrective actions.
Professional-grade compliance review at a fraction of consultant costs
Per engagement
One-time fee per website
Clarification: ReguScan is not a replacement for legal counsel. It is a pre-exam risk detection layer designed to identify common compliance issues before they become examination findings.
Volume pricing available for firms with multiple websites. Contact us for details.
Identify and remediate website compliance issues before they become examination findings.