What We Do

Since the recent decline of the market, RegTec recognized a need for new, advanced tools to handle compliance, systems, and administrative needs for exchange members, investment advisors, broker-dealers, and other industry groups. We focus on providing end-to-end solutions for the international financial services industry by offering resources with reasonable cost and transparency. Our key demographic is the trading and financial services industryfinancial services and those that need a more efficient platform to handle the following:

  • Regulatory requirements
  • Compliance
  • Communications
  • Administration of trading activities

With the increased use of electronic systems for trading, order routing, and trade reporting in the last 10 years, several rules and regulations have been implemented to track order entry and execution quality. As a result of this implementation, new systems were adopted to ensure compliance.

Who We Are

Our company focuses on meeting the needs of broker-dealers burdened with adhering to new rules and regulations. Our company hires only the best and most qualified industry professionals. We include:

  • Former industry examiners (i.e. SEC or FINRA)
  • Lawyers
  • Technicians
  • High-level managers

Our staff have a wide variety of experience. We work hard to match our incoming projects with the right staff to ensure that your needs are looked after with the right mix of experience and expertise.

We conduct business with only the highest ethics, not only because our industry demands them but also because this is the way we live our lives. Our ethics drive our business and we value them on a deeper level than what the industry expects. Integrity, including confidentiality, honesty, and trust are the foundations upon which we built our company.

How Can We Help?

We offer several services that can be tailored to meet the specific needs of your firm. We offer different service in the following areas:

  • Investment Advisors
  • Broker-Dealers
  • Packaged Services

We can provide state or SEC registration services. We can either do everything for your firm or guide you through the process instead. If you require, RegTec can also help you navigate you through your IARD administration process.

We can set up both FINRA and non-FINRA broker dealers, giving you the option to tailor our services to exactly what your firm needs. We work hard to ensure that every one of your needs is looked after, both in your eyes and in the eyes of any regulatory body.

If you are after compliance services, we can package our services together for a flat rate. Our most common packages we offer are Basic Review, Midrange Review, and Full Service. Each package can be adjusted, however, to suit your needs.

 We work hard to ensure our clients are happy and satisfied, so if you are in the market for any of our services, please feel free to contact us 312-933-2885 to discuss your needs.

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