AI-powered regulatory intelligence that monitors SEC/FINRA changes, generates compliance reports, and delivers client-ready briefs — so you stay ahead of regulatory risk without hiring compliance staff.
Our system continuously scans SEC and FINRA rulemaking, guidance updates, no-action letters, and enforcement actions — so nothing slips through the cracks.
Each regulatory change is analyzed against typical RIA operations, client types, and AUM levels. You get plain-English summaries with direct action items — not raw regulatory text.
Reports land in your inbox — or on-demand when you need them. Client-ready briefs are formatted for direct client delivery. All documentation is audit-ready.
Five compliance intelligence products, available individually. No subscription, no commitment — pay only for what you use.
Deep-dive analysis of recent SEC/FINRA rule changes, their compliance implications for your practice, and recommended action steps.
AI-powered review of a client portfolio against current regulatory requirements, suitability standards, and concentration risk rules.
Comprehensive compliance health assessment for your practice — policies, procedures, disclosures, and regulatory readiness.
Professionally formatted market intelligence brief ready to send to clients — compliant language, balanced perspective, your branding.
Full-year compliance review: policies, Form ADV audit, supervisory procedures, and a 12-month regulatory calendar for your practice.
Order one compliance deliverable today. No commitment, no subscription. If you need 3+ deliverables a month, our plans save you 40% or more.
All deliverables include audit-ready documentation. Turnaround: 24–72 hours.
Investment adviser representatives must be registered with the SEC (if firm assets > $110M) or state (if assets < $110M) under the Investment Advisers Act of 1940 (15 U.S.C. §80a-1 et seq.). Individual registered representatives must pass the Series 65 exam. FinanceStackHub does NOT register individual advisors and does NOT substitute for SEC/state registration. Use of FinanceStackHub tools does NOT satisfy registration requirements. Advisors using FinanceStackHub must maintain separate SEC/state registration and Form ADV filings.
Broker-dealers (individuals and firms) must be registered with FINRA under the Securities Exchange Act. FINRA requires broker-dealers to follow suitability rules (FINRA Rule 2111) and, for certain securities, best execution requirements. FinanceStackHub tools do NOT ensure FINRA compliance. Broker-dealers using FinanceStackHub must maintain FINRA registration, conduct their own compliance testing, and maintain compliance documentation.
Investment advisers are fiduciaries required to act in clients' best interests under the Fiduciary Rule (17 CFR §206). Fiduciaries must disclose conflicts of interest, obtain client consent, and act with care and loyalty. FinanceStackHub is NOT a fiduciary and does NOT establish fiduciary duty to clients. Investment advisers using FinanceStackHub remain responsible for all fiduciary obligations. FinanceStackHub tools do NOT substitute for advisor fiduciary analysis.
FINRA Rule 2111 requires recommendations to be suitable for a customer's financial situation, investment objectives, and risk tolerance. The Dodd-Frank Fiduciary Rule extends best interest obligations to certain transactions. FinanceStackHub tools may assist analysis but do NOT determine suitability or satisfy best interest determinations. Advisors remain responsible for independent suitability analysis for all recommendations.