Regulation Technologies LLC 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. Learn more about us.

With the launch of our new website comes many new tools that our clients can utilize. We now publish compliance alerts, which makes it easy for clients to read alerts from multiple regulating authorities all on one page. We are also offering an email service, that will let you know everytime a new alert is published. To sign up, visit our solutions page and click the "sign up" menu link.

Please feel free to navigate our site, and see the new features we have to offer. In addition, some pages are still under construction, so thank you for your patience while we complete our site.