Rule 605
Execution-quality report QA
Review monthly detailed and OES output before publication.
- Checks detailed and summary reports
- Recalculates all 12 OES metrics
- Flags prior-period changes
- Creates supervisory evidence
Rule 605 + Rule 606 reporting QA
Independent pre-publication review
One QA layer for the regulatory reports your firm already produces.
RegPreflight reviews finished Rule 605 and Rule 606 reports before publication or customer delivery. It works alongside your existing reporting process, highlights what needs attention, and creates a consistent supervisory record across the suite.
No reporting-system replacement required. Public demo uses sample data only — no account required.
3 active modules605, 606(a), 606(b)(1)
One review modelFindings, dispositions, sign-off
On-device reviewReport files stay on the device
Supervisory evidencePDF review + QA data
Products
Three reporting reviews. One RegPreflight experience.
Each module is built around the report being reviewed, while the reviewer workflow stays consistent across the suite.
Rule 606(a)
Public routing report QA
Review quarterly public routing reports before publication.
- Checks XML and publication PDF
- Reviews routing and payment disclosures
- Compares month-to-month changes
- Keeps equities and options separate
Rule 606(b)(1)
Customer routing report QA
Review customer-specific routing packages before delivery.
- Checks XML and publication PDF(s)
- Reviews the six-month reporting period
- Separates Held, Not-Held Exempt, and Options
- Documents applicability and sign-off
Why RegPreflight
An independent review layer—not another reporting system.
Keep the systems and vendors that create your reports. Add RegPreflight before publication or delivery to independently review the finished output.
Your reporting process
Produces the regulatory report using your source data, systems, and reporting vendor.
→
RegPreflight
Checks the finished report, highlights items that need reviewer attention, and packages the supervisory evidence.
How it works
One simple workflow across the suite.
The files change by product. The review process does not.
1
Add the report package
Load the files your firm plans to publish or deliver, plus any optional prior-period inputs.
2
Run independent checks
RegPreflight analyzes the finished report package and surfaces calculation, consistency, disclosure, and change-review items.
3
Resolve Pending Review
Give every review item a disposition and add reviewer comments where context should be retained.
4
Complete supervisory evidence
Finish reviewer sign-off and download the supervisory PDF and QA data for retention.
Security + methodology
Built for sensitive reporting workflows.
Report files are reviewed on the user's device and are not uploaded to RegPreflight for analysis.
Report files stay on the device.
The current workflow performs report review and evidence generation on the device.
✓Finished report files are not uploaded to RegPreflight for analysis.
✓The review package identifies the source files used.
✓Reviewer decisions stay on the device until the package is downloaded.
Clear scope
Each module states what the finished-report review covers and what still requires source-data testing.
Consistent evidence
Review findings, dispositions, comments, and sign-off are retained in the supervisory output.
Documented methods
Rule 605 calculation methodology is published alongside the product.
More detail
Pricing
Enterprise pricing for an independent reporting control.
Current list pricing for the RegPreflight suite.
605 QA
$18K / year
$1,500 monthly equivalent
- Rule 605 detailed + OES review
- All 12 OES calculation checks
- Prior-period review
- Supervisory evidence
606 QA
$15K / year
$1,250 monthly equivalent
- 606(a) public-report preflight
- 606(b)(1) customer-report preflight
- Routing, venue, payment + package checks
- 606(b)(3) expansion planned
605 + 606 Suite
$30K / year
$2,500 monthly equivalent
- All active RegPreflight modules
- Common reviewer workflow
- Consistent supervisory evidence
- One suite across 605 + 606
Enterprise
$60K+ / year
Scoped to deployment
- Multiple entities / reporter IDs
- 606(b)(3) controls as released
- SSO, roles, batch processing + integrations
- Enterprise support
Pricing and packaging may change as the suite evolves.