Overview

RegEd’s FORM ADV Part 2B Supplement is an enterprise workflow solution that automates creation, population and distribution of SEC Form ADV Part 2B supplements by leveraging representative data already maintained in RegEd and FINRA sources. The module streamlines data collection and verification, uses configurable approval workflows that mirror firm hierarchy, produces customizable PDF supplements, supports event-driven updates such as address or education changes, and provides reporting and audit trails to ensure firms meet SEC expectations for up-to-date adviser disclosures.

Features and Capabilities

• Core Functionality: Automates ADV Part 2B supplement creation using representative data to produce fully customizable PDF brochures and supplements for advisors.
• Data Population & Collection: Pre-populates forms by leveraging representative data stored in the platform and supports streamlined operational procedures for collection, verification and approval.
• Sophisticated Workflow: Configurable, multi-stage approval workflows that mirror firm hierarchies and support escalation, routing and supervisory controls to accelerate review and sign-off.
• Event-driven Updates: Triggers supplement regeneration on events such as address changes, DRP updates or education changes to keep client disclosures current and SEC-compliant.
• Reporting & Audit Trails: Provides robust reporting and activity monitoring that enables compliance teams to manage outstanding items, produce audit evidence and demonstrate regulatory oversight.
• Best-Practice Content: Includes turnkey compliance content developed by subject-matter experts that aligns with regulatory expectations and industry best practices.
• Integration & Data Sources: Integrates with firm data repositories and can leverage FINRA and platform data to minimize re-entry and ensure accuracy.
• Approval Acceleration: Supports electronic collection, tracking and filing to reduce approval times and improve first-touch completion rates.
• Platform Context: Delivered as a module within the enterprise compliance platform and complementary to solutions such as Compliance Questionnaires, Advertising Review and Branch Audit Management.