4
Binder types: SEC exam, annual review, mock audit, custom
The exam binder is already built.
When the SEC request letter or a mock audit lands, your evidence is already assembled: sections you shape, populated straight from the live records in the app, exportable in a click. No scrambling through the app under a deadline.
attestations current
98.6%
▲ 1.4pp vs Q4
marketing reviews open
7 / 142 ytd
median 3.1h turnaround
trade alerts (30d)
12
9 cleared · 3 escalated
vendor DDQ on time
100%
23 of 23 · 0 overdue
Compliance events · trailing 12 weeks
Reviews
Attestations
Alerts
recent activity
+ 47 this week
Q1 2026 board report generated · 8 pages · auto-current
Today
Code of Ethics quarterly attestation cycle closed · 98.6% complete
Apr 14
Annual review · 12 days remaining for 3 pending advisor disclosures
Apr 12
0
Manual assembly · items pull from the live record
3
One-click exports: summary PDF, blotter CSV, client-master CSV
1
Readiness score, updated as the program runs
Everything an examiner asks for, already in one binder.
Pick a binder type and RegFin builds the sections from the SEC books-and-records categories. Every item links to the live compliance record behind it, so the binder fills itself in as your program runs. When the request letter arrives, you're reviewing evidence, not assembling it.
SEC Exam Prep — 2026 Presence Exam
In progress · examination period Jan 1 – Dec 31, 2025
88%
Readiness
25
Requirements
22
Satisfied
2
Deficient
1
Stale
Written Communications
204-2(a)(7)
Client correspondence records
Produced
Email retention policy
Produced
Code of Ethics
204-2(a)(12)
Current Code of Ethics document
Produced
Code of Ethics violation records
None statement
Advertisements & Marketing Materials
204-2(a)(11)
Marketing review records
Produced
Performance advertising substantiation
Partially produced
Export
Summary PDF
Trade blotter CSV
Client master CSV
Customize it
Four binder types out of the box: SEC exam prep, annual review, mock audit, and a fully custom binder. Sections are generated by category, then you narrow them to the exam's focus, so a marketing-only mock audit binds only the marketing categories.
It fills itself in
Every item is linked to a live compliance record requirement. As policies are attested, records filed, and reviews closed, each section's status and the binder's readiness score move with them. No re-keying, no stale copies.
Download what they asked for
Export the whole binder as a summary PDF, or the exact productions an examiner requests: the trade blotter and the client-and-account master as CSV, in the request-letter layout, with the trade blotter scoped to the examination period.
And the daily view that keeps the binder current.
The same records that populate the binder drive the CCO's dashboard: what's open, what's overdue, what's been flagged. Work the queue day to day and exam prep takes care of itself.
Total clients
214
+6 this month
Active accounts
388
+11 this week
Pending reviews
7
3 due this week
Transactions 30d
1,240
+8% vs last month
Oversight Queue
Items requiring review or action
All 18
Alerts 5
Marketing 4
Preclearance 3
Questionnaires 2
Restricted-list trade flagged
Alert · TSLA 1,200 sh · J. Okafor
Critical
2h
Marketing review: LinkedIn post
Marketing · Performance claim · A. Feldman
Urgent
4h
Preclearance request
Preclearance · NVDA 300 sh · personal
Pending
6h
Vendor DDQ: Greenline Analytics
Questionnaire · SOC 2 refresh
Overdue
2d
Reports for the three people who ask the most.
The CCO who runs the program. The board that oversees it. The examiner who tests it. Each needs the same evidence in a different shape. RegFin renders all three.
01 · The CCO
Daily operations & program health
What's open, what's overdue, where the patterns are. The dashboard runs the day; the trend views run the quarter.
Live CCO dashboard
Open-items queue
Trend reports
Advisor-level scorecard
SLA & turnaround tracking
02 · The Board
Quarterly oversight package
What the board needs to discharge oversight: program summary, material events, vendor risk, exam posture, attestations of the program itself.
Quarterly board report
Annual 206(4)-7 review summary
Vendor & third-party risk roll-up
Material events log
CCO certifications
03 · The Examiner
Exam-ready evidence package
Every list, log, and policy the SEC asks for, pre-staged. When the deficiency letter arrives, you've already lived in the answer.
Document request packet
Books-and-records inventory
Communications archive export
Trade event & alert log
Policies & procedures with versions
A flexible reporting system, not a blank canvas.
Beyond the binder, pick a report from the catalog or build your own on any field, filter, and cadence. Either way the data is already there. The report is the view, not the work.
Featured · Board
Quarterly Compliance Board Report
The whole quarter in eight pages: KPIs, material events, vendor risk, exam posture, regulatory developments, advisor disclosures. Designed to be handed straight to your board chair.
Featured · Annual
Annual 206(4)-7 Review
Mapped to the rule: policies tested, deficiencies found, remediation, attestation. The deliverable the SEC will ask to see, generated from the program record.
CCO
Compliance Calendar
Year-at-a-glance: every filing, attestation cycle, and review date.
CCO
Open Items Queue
Live work list: by owner, deadline, severity.
Advisor
Advisor Scorecard
Marketing reviews, attestations, and training, per advisor.
Exam
Books & Records Inventory
Mapped to Rule 204-2 · hash manifest included.
Exam
Comm Archive Export
Scoped, Bates-stamped, includes hash-of-evidence.
Risk
Vendor Risk Roll-up
Tiered vendors, DDQ status, exception summary.
Trading
Trade Alert Disposition
Every alert · resolution · rationale · rule cited.
Marketing
Marketing Review Log
Submissions, reviewers, turnaround, citations.
Custom
Build your own
Any field, any filter, any cadence. Saved & shareable.
Eight pages your board will actually read.
The quarterly compliance report most firms cobble together from a CRM export, a spreadsheet, and a memo lives in RegFin as a finished document, formatted for a board packet and current the moment you open it.
Every figure on the page links back to the record it came from. If a director asks "what's behind the 98.6%," you click the number and the underlying attestations are right there.
Hartwell Capital Advisors · Compliance
Q1 2026 Board Report
Prepared by Office of the CCO · April 16, 2026
1. Executive summary
The compliance program operated within tolerance throughout Q1 2026. No material events, no regulatory inquiries, and three remediation items carried forward from Q4 closed within the period.
98.6%
Attestations current
3
Items remediated
0
Material events
2. Material findings & remediation
- Two advisor disclosure forms filed past deadline; cause: vacation coverage gap. New backup-assignee rule deployed.
- One marketing piece published before review concluded; root cause documented, retraining completed.
- Vendor DDQ for sub-processor "Greenline Analytics" closed with two minor exceptions; both within risk tolerance.
3. Regulatory developments tracked
SEC Marketing Rule no-action letter (Feb 2026) · IA-6512 risk alert on AI claims · Form CRS amendments under proposal. Mapped to firm policies; one policy update queued for May.
Hartwell Capital · CRD 145002
Page 1 of 8
Export to whatever they asked for.
.pdf
Polished PDF
Board packets, exam responses, advisor-deliverable copies. Branded with your firm's letterhead.
.csv · .xlsx
Spreadsheets
For your auditors, your data team, your own Excel pivot. Includes column-level data dictionary.
.zip · workpaper
Exam workpaper
Bates-stamped exhibits, hash manifest, evidence index. Designed to go straight to counsel or the examiner.
scheduled
On a schedule
Set any report to generate and arrive in your inbox on a cadence (daily, monthly, or quarterly) so the board packet is ready before the meeting.
Reporting questions, answered.
The exam binder is a pre-staged evidence package for an SEC exam, annual review, mock audit, or a fully custom scope. Pick a type and RegFin generates the sections from the SEC books-and-records categories; each item is linked to a live compliance record, so the binder populates itself and a readiness score tracks how much is satisfied. Responses use SEC request-letter language, including a written "none" statement where the correct answer is that no such records exist. When you're ready, export the binder summary as a PDF or the specific productions an examiner asks for (trade blotter, client-and-account master) as CSV.
Yes. The default template is a starting point. You can edit section order, add custom narrative blocks, rebrand the cover, and pin firm-specific KPIs. Once configured, it regenerates with current data every time. Your edits stick to the template, not the snapshot.
The report builder lets you pick fields, set filters, choose a layout (table, chart, narrative), and save the report to a folder. Saved reports can run on demand or on a schedule. Most CCOs end up with five to ten custom reports for the things their firm runs differently from the default.
Both. Dashboards are live by default. They reflect the current state of the record. When you generate a report (PDF, workpaper, etc.) it captures a snapshot at that moment with an integrity hash, so the version handed to the board or examiner is a fixed, evidenced artifact. The original live view is always there if you need to drill in.
Yes, through exports. Every report and dataset comes out as CSV (with a column-level data dictionary), PDF, or an exam workpaper, so your team can drop the CSV straight into Excel or your own BI tool. Reports can also run on a schedule and arrive automatically, so the latest numbers land without anyone re-running them.
A ZIP file structured like a typical SEC document request: each request mapped to a folder, each folder containing the responsive documents, an index, a Bates-stamp report, and an integrity manifest with SHA-256 of every file. The default packet covers the common asks; you can tailor it for the specific document request you receive.
The CCO and their team see everything; advisers see only their own book; auditors and board liaisons get a read-only login. Every generated report is itself logged (who ran what, when, against which version of the data) and that log is part of the archived record.
See the binder built from the record.
A demo runs an exam binder, its exports, and the CCO dashboard live against a demo firm's record. You see what exam prep looks like when the evidence is generated from the underlying data instead of assembled by hand.
Book a demo →