Regulation Technologies LLC provides compliance consulting and legal services to brokers, proprietary trading groups, and exchange members so the core business of your firm continues without being unduly burdened by rules and regulations.

RegTec ensures that your firm addresses all the compliance requirements of your exchange or Self-Regulatory Organization (“SRO”) efficiently and effectively. The compliance consultants and attorneys of RegTec have extensive experience in securities and futures regulation as well as trading and back office functions, including FINRA, NFA, CBOE, CHX, AMEX, CME/CBOT, NYSE Arca, and PHLX. RegTec also provides compliance tools for the electronic trading environment, representation at disciplinary hearings and assistance with routine audits and sweep exams.

RegTec is prepared to assume the compliance functions of your firm on a one-off, monthly, or permanent basis.

You can download commonly used forms here.