RegTec, LLC Employee Directory

Financial ServicesIllinois, United States2-10 Employees

RegTec, LLC operates in the financial services sector, focusing on regulatory compliance and legal consulting for the securities and futures industries. The firm provides tailored compliance programs for broker-dealers, proprietary trading groups, introducing brokers, and exchange members, aiming to simplify complex regulatory requirements and help clients manage legal obligations so they can pursue growth with a clear compliance framework. Headquartered in Chicago, Illinois, RegTec positions itself as a turnkey resource for both FINRA-regulated and non-FINRA broker-dealers, including exchange-specific regulatory considerations for firms operating on various markets. Founded more than a decade ago, the company emphasizes a client-centered approach, drawing on decades of experience to cover the full spectrum of regulatory compliance needs and offering services that address the evolving responsibilities imposed by regulators. The firm notes its ability to tailor programs to the particular regulatory landscape of each client’s operations, and it provides direct contact information for compliance inquiries.

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