Broker-dealer supervision · Reg BI to proof
Your reps completed the training. Can you prove they can apply Reg BI on a real recommendation?
Turn your WSPs and compliance manual into training in minutes. Keep it current as Reg BI guidance moves. Prove your reps can recognize a conflict and handle the recommendation correctly, per person.
Upload
0:00
WSPs + Reg BI manual.pdf · your own source
Generate
0:42
Outline + activities · grounded in your manual
Publish
8:12
Course live · same day, you approve it
Built from what you already have
No outside firm. No months. Your WSPs become training.
Point Nexera at your WSPs, your Reg BI manual, an SOP. It drafts a course grounded in your source that you can edit, map, and ship the same day.
Your materials
A policy, an SOP, a procedure manual. The course is generated from your source and pinned to it.
In minutes
Upload, review, publish. What a vendor takes months to build, you ship the same day, with your sign-off before it goes live.
40+ languages
One-click translation into the languages your workforce actually speaks, from the same source.
To each level
Tune the same source to a new hire, an experienced analyst, or a reviewer, so people are met where they are.
Grounded in authority
Trained on what's true today, not last year's PDF.
Your training is only as current as what it's built on. Nexera grounds courses in your own materials and, where available, connects them to authoritative sources so the training reflects the rule as it stands now.
Policy changed
Credit policy
Retrain queued
28 lenders
Module refreshed
Exception approvals
Mapped
Consumer Duty
Tier 1
Your corpus
Your policies, SOPs, and manuals. The material you own and control, and the ground every course is pinned to.
Tier 2
Public authoritative sources
Official regulatory and government publications, connected where a live source is available. For example: SEC.gov, FINRA.org, eCFR.
Tier 3
Your licensed data
Bring your own licensed corpus and train on it, used within the terms of your license.
Available sources depend on jurisdiction, publication access, and your own licensing. We map what's connectable for your use case during onboarding.
But speed isn't the point
Fast training is easy. Proof your reps can apply the standard is the hard part.
01
You're likely doing this well
Firm Element CE, annual compliance meetings, onboarding, updates when guidance changes. Delivered on schedule, with completion records to prove it.
02
But the gap is still there
A completion record shows attendance. It doesn't show a rep will recognize a conflict on a rollover recommendation, review reasonably available alternatives, and document a real best-interest rationale, or that they still hold that judgment nine months later.
03
And that's what an exam finds
Reg BI can't be satisfied by disclosure alone, and exams probe whether supervision actually works. "We trained everyone" is the weakest sentence in the room when a finding traces to a recommendation a rep was meant to get right.
The loop
From content to proof, and current the whole way.
One system that creates the training, keeps it aligned to the regulation, and shows what your people actually know.
Knowledge graph
Reg BI · 32 K-Bytes
New
0
Familiar
0
Comfortable
2
Confident
25
Fluent
5
Recommendations
16 kb
74%
Care and alternatives
78%
Care Obligation
Reasonably available alternatives
Rollovers and rationale
68%
Rollover recommendations
Best-interest rationale
Conflicts and disclosure
12 kb
70%
Conflicts
64%
Conflicts of interest
Disclosure
76%
Disclosure Obligation
Form CRS
Supervision
4 kb
72%
Supervisory procedures
72%
Written Supervisory Procedures (WSPs)
01
Create
Turn your existing policy into training in minutes.
02
Connect
Pin each module to the obligation it covers, Reg BI, WSPs, Firm Element.
03
Watch
Know when Reg BI guidance, a FINRA notice, or an exam priority shifts.
04
Update
Refresh what went stale, leave the rest untouched.
05
Measure
See, per person, who actually holds the judgment the role needs.
06
Retrain
Bring only the people on the old version current.
When a gap appears
Gaps don't wait for the next training cycle.
When Nexera sees someone's knowledge slip, an agent closes the loop through the tools your people already use, not another dashboard nobody opens. Connect the channel of your choosing.
Via your connector of choice
A nudge where they work
A short prompt in Slack or Teams, meeting the person where they already are instead of behind another login.
Triggered by the regulatory change
The update, pushed
When an SEC rule or your own policy changes, the affected people get the refreshed material directly, not a firm-wide email nobody reads.
Scoped to the individual's weak spot
Targeted improvement
"Let's raise your score on rollover recommendations." A short, specific intervention aimed at the exact gap, not a full re-assignment.
Outcomes
Proof that writes itself.
Minutes
From policy to authored course
Point Nexera at a policy PDF and get a working, editable course the same session.
Automatic
Retrain only who drifted
When a rule changes, only the people still on the old version get the update. Everyone else stays out of the queue.
Auditable
Cited learner evidence
Every completion ties back to cited knowledge, not checkbox theater.
“This is so much more than a training platform. It is a whole new era of knowledge management and infrastructure.”
Chief Technology Officer
Regulated financial institution
Video coming soon
For broker-dealers
Stop assigning training. Start assuring competence.
See Nexera in a 30-minute demo tailored to your firm. No pitch deck, no fluff.