Notifications

Regulatory Digest posts to its Slack feed channel. All notifications are internal and never visible to advisors, LPs, or outside parties. Every card has the same shape: a short header, a material section if there is one, a notable section if there is one, and a source link beside each line.

Daily Digest Card

When: Posted every weekday morning, after the prior trading day's filings and notices have been read and classified.

What it contains:

• A short header naming the cadence and the window covered
• A Material section listing items that change a rule, open or close a regulatory gate, or set an enforcement precedent. Each item shows a bolded headline and a one-sentence reason framed for distribution or compliance
• A Notable section listing items that are useful context but not action-shifting: industry trend data, peer fund filings, macro releases
• A source link beside each item so you can open the underlying filing or release
• A coverage label on items tied to a specific advisor, firm, or fund in your tracked universe

Action required: Read the material section. Decide which items belong in your compliance log, which warrant a wholesaler ping, and which deserve a closer read. Items in the notable section are background context; no action is expected by default.

Weekly Rollup Card

When: Posted once a week, summarizing the prior week's material and notable items.

What it contains:

• A wider header covering the full week
• Items grouped by theme rather than by source: rule changes, enforcement, advisor moves, peer fund activity, plan-level updates
• A short "trend note" paragraph at the top calling out anything that looks like a pattern across the week (for example, a cluster of FINRA enforcement actions on similar marketing language)
• Source links on every line

Action required: Use the weekly card to brief your Monday compliance or distribution meeting. The trend note is the part to read aloud; the item list is the supporting detail.

Monthly And Quarterly Rollup Cards

When: Monthly cards post at the start of each month; quarterly cards post at the start of each calendar quarter.

What it contains:

• The same theme grouping as the weekly card, over a longer window
• Comparison framing where the agent has it: counts of new Form D offerings from peers this quarter, count of advisor broker-dealer switches across your coverage book, count of Form ADV amendments touching disclosure language
• Source-linked exemplars rather than full item lists; the longer cadences favor the standout items over completeness

Action required: Useful as input to executive readouts, board reports, and committee materials. The monthly card is also a natural prompt to look back at any material items that did not get closed out during the month.

Empty Digest Note

When: A cadence run produces no material or notable items.

What it contains:

• A short one-line note that the run completed and produced an empty digest
• The window covered, so you know the agent ran and found nothing rather than failing to run

Action required: None. An empty digest is a clean signal that the public record was quiet for that window.