YOUR REGULATORY COMPLIANCE ASSISTANTS ARE HERE.
Regula IQ is an AI-powered compliance assistant designed specifically for the complex needs of self-clearing broker-dealers. By automating and validating regulatory filings under SEC Rule 15c3-1 (Net Capital) and Rule 15c3-3 (Reserve Formula), the platform ensures that financial data is accurately classified, rule-compliant, and audit-ready.
Users can upload general ledger and custody reports, and Regula IQ instantly analyzes the inputs against current regulatory requirements, flags errors or inconsistencies, and provides intelligent filing suggestions complete with plain-English explanations and rule citations.
With built-in filing workflows, audit logs, and predictive capital monitoring, Regula IQ serves as both a safety net and a strategic partner for FinOps and compliance teams.