RegDesk simplifies supervisory oversight and recordkeeping for BDs and RIAs. Get audit-ready Risk memos, WSP addendums, and Compliance checklists—modular, defensible, and easy to use.
Get StartedAutomatically generate a tailored risk memos assessing AI use under Reg BI, FINRA 3110, and SEC 17a-4.
Download printable compliance checklists aligned to FINRA Rule 3110(a)–(e) and Rule 3120 for AI oversight.
Generate formal policy language for generative AI oversight. Customize for your firm’s controls.