⚖️ RegBIKit

SEC Regulation Best Interest (Rule 15l-1) — Written Supervisory Procedures Generator

PAY-AS-YOU-GO

Generate Reg BI Written Supervisory Procedures in Minutes

SEC Regulation Best Interest requires broker-dealers to act in clients' best interest and maintain documented supervisory procedures. FINRA's 2026 exam priorities emphasize Reg BI compliance deficiencies. Outside counsel charges $3,000–$10,000 per WSP document. RegBIKit generates an examiner-ready WSP for $179 PAYG.

SEC Reg BI Rule 15l-1 FINRA Rule 3110 Examination Priority 2026 Word Document Output

📊 Pre-Generation Analysis

$179 / document

Single WSP Document

One Reg BI written supervisory procedures document tailored to your firm.

BEST VALUE

$249 / bundle

WSP + 2-Year Updates

Initial WSP plus two annual regulatory update revisions included.

$89 / document

Consultant API

Volume pricing for compliance consultants handling multiple firms.

🏢 Firm Information

Firm Name

CRD Number (optional)

Firm Type

Registered Representatives

Compliance Officer Name

Compliance Officer Title

📦 Products & Compensation

Select all products offered by the firm:

Equities

Stocks, ETFs, and equity securities

Bonds & Fixed Income

Corporate bonds, munis, treasuries

Mutual Funds

Open-end funds, share class selection

Annuities

Variable, fixed, indexed annuities

Alternative Investments

REITs, private placements, structured products

Compensation Model

Commission-Based Fee-Based Both

⚠️ Conflict Types

Select all material conflicts of interest:

Third-Party Payments

Revenue sharing, 12b-1 fees, shelf space

Sales Incentives

Contests, bonuses, production thresholds

Proprietary Products

In-house funds, affiliated products

Affiliated Adviser

Advisory affiliate referral arrangements

🏗️ Clearing & Exam History

Has Clearing Firm?

Clearing Firm Name

Last FINRA Exam Year (optional)

Prior Exam Deficiencies (optional)

⚖️ Disclaimer: RegBIKit generates draft Written Supervisory Procedures for compliance officer review. All output should be reviewed by qualified legal/compliance professionals before adoption. This tool does not provide legal or compliance advice. SEC and FINRA requirements evolve — verify currency of all regulatory references.