Advanced Regulatory Compliance Assistant
REGULA IQ
PRODUCT OWNER: The Tough Tech Solutions Corporation www.toughtechsolutions.com
CONTACT: Michael Jude – mike@toughtechsolutions.com
Web: www.RegulaIQ.com
Regula IQ is an AI-powered compliance assistant designed specifically for the complex needs of self-clearing broker-dealers. By automating and validating regulatory filings under SEC Rule 15c3-1 (Net Capital) and Rule 15c3-3 (Reserve Formula), the platform ensures that financial data is accurately classified, rule-compliant, and audit-ready.
Users can upload general ledger and custody reports, and Regula IQ instantly analyzes the inputs against current regulatory requirements, flags errors or inconsistencies, and provides intelligent filing suggestions complete with plain-English explanations and rule citations.
With built-in filing workflows, audit logs, and predictive capital monitoring, Regula IQ serves as both a safety net and a strategic partner for FinOps and compliance teams.
Massive Impact to Regulatory Accounting
The impact on regulatory accounting and reporting is immediate and measurable: less time spent reconciling errors, fewer late or deficient filings, and reduced risk of costly audits or enforcement actions. Regula IQ brings structure, consistency, and real-time visibility into a process that is traditionally manual, opaque, and vulnerable to human error.
The Regula IQ Industry Advantage
By embedding AI into the heart of the compliance workflow, the platform empowers financial professionals to focus on strategic oversight rather than regulatory firefighting, ultimately elevating the standard of accountability and operational resilience across the broker-dealer industry.