ClearReg delivers a weekly plain-English briefing on SEC and FINRA regulatory updates — with firm-specific action steps built for independent RIAs under $500M AUM. Read in 5 minutes. Never miss a deadline that triggers an examination.
The average SEC enforcement action against a small RIA results in fines between $100,000 and $500,000. Compliance consultants charge $5,000–$15,000 per year for the same regulatory monitoring ClearReg delivers for $297/month. Most solo and small-team RIA principals learn about rule changes weeks late — from peers, not primary sources. ClearReg monitors SEC.gov and FINRA daily so you don’t have to.
∙ Weekly Wednesday briefing — every material SEC and FINRA update summarized in plain English with an urgency rating (High / Medium / Low) so you know what actually requires action.∙ Firm-specific implications — analysis filtered for sub-$500M AUM firms, not wirehouse compliance teams. What affects you is flagged. What doesn’t is ignored.∙ Monthly compliance calendar — every upcoming filing deadline, examination cycle date, and comment period closes, assembled in one place.∙ Downloadable action checklists — when a rule change requires a Form ADV update, a policy revision, or a client disclosure, you get a step-by-step checklist, not a legal memo.
“Exactly what I needed as a solo practitioner. I was spending 2–3 hours a week trying to track this myself.”
— RIA Principal, $180M AUM, Texas
$297/month — less than 2% of what a compliance consultant charges.
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ClearReg is an independent research and information service. Content is for informational purposes only and does not constitute legal, compliance, or investment advice. Always consult a qualified compliance professional for firm-specific guidance.