RegTec, LLC Information

Regulation Technologies, LLC was founded over 14 years ago in response to the growing need for regulation resources for small to medium sized broker dealers, investment advisors and futures commission merchants. The burden of increased regulatory responsibility from the SEC upon these broker dealers created the need for specialized legal and compliance consulting. In this complex world of regulatory compliance, our approach is client focused whether broker/dealer, prop trading group or firm's needs and will tailor a compliance program that meets your specific situation. We we listen and work with you. Our specialists cover all areas of regulatory compliance with decades of experience to assure you are protected. Our Focus: Regtec is a comprehensive turnkey compliance and legal consulting firm for the securities/ futures industry. Our clients include Broker/Dealers, proprietary trading firms, IBs and Exchange Members/ TPH holders all benefit from our services. We have the expertise to help your firm make the complex problems of compliance simple so that you may grow your business and leave compliance and legal matters to us. Regtec specializes in regulatory compliance services to both FINRA and non-FINRA broker dealers. In addition, for Exchange BDs not only will we fulfill any requirements that you may have in connection with broker dealers but we will also tailor your program to specific regulations of the exchange where you operate. For further information contact: Email: compliance@regtec.com Ph: 312-572-6193