Proving Compliance With the PDF Tool For SEC Exams

  1. RegBIOptimizer’s admin panel makes showing compliance a breeze.
  2. Sorting the admin panel
  3. How to Create PDFs for SEC Exams

While the world focuses on many other events, the season for Regulation Best Interest exams is upon every Advisor and Broker-Dealer.

LISTEN to learn more about the SEC’s first exams

RegBIOptimizer’s admin panel makes showing compliance a breeze.

The SEC indicated that its first compliance examinations would begin in July-August. How will your firm prove to the SEC that your advisors abided by Reg-BI standards with every client contact? If you work as a team and have a compliance officer, RegBIoptimizer’s admin portal is essential. The Admin panel is ideal for independent RIAs or BDs but excels with scale.

The admin portal shows all the advisors in the firm and all the reports they created to demonstrate “best interest.” If you work as a team, you can utilize the admin portfolio, and then you can set alerts to find transactions that might present compliance risk. If your advisors breach the rules, then the compliance team can receive a notification to step in and correct the situation.

SEC estimated that it would cost over $11K for a single advisor to comply with RegBI. RegBIoptimizer slashes that cost and makes workflow changes a breeze. Click the banner below to request a quick demonstration of its compliance capabilities.

Create a pdf report related to any client’s portfolio recommendation in just a few steps.

1.First, access the admin panel through the group icon (pictured in Figure 1).

Figure 1: Access the admin panel through the icon above.

Sorting the admin panel

 2.Then sort the panel to find the report you desire. Click on the “Group” button (Figure 2) to reveal a few options. Firms with multiple advisors will find organizing by an advisor to be the most useful – they are the ones accountable for compliance, after all (Figure 3). But you can also organize by time or state.

Figure 2: Group the data to navigate it easily.

Figure 3: Organize portfolio recommendations by state, advisor, or date.

How to Create PDFs for SEC Exams

3.Click the PDF button next to the desired portfolio.

Figure 4: Click the PDF button to create a compliance report.

Figure 5: The PDF Report can be shared, downloaded, and printed to distribute.

4.The embedded pdf viewer provides several options for downloading or printing the report.

If a client wants a paper copy of their data or you want to show an advisor their compliance mistake in person, then click on the print button (Figure 6).

Figure 6: Print PDF Button

All your reports will be stored in Reg-BI Optimizer but can also be downloaded for your records. Click on the download button to share the pdf via email or other means (Figure 7)

Figure 7: Download Button

The PDF automated report quickly proves an advisor asked the required disclosure questions and documents all a client’s responses. It also compiles all the needed client information – from financial standing to risk tolerance and capacity – and proves

If you have any questions, then contact our Client Success Team at

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