Context graph
What you owe, joined to what you do: Reg42’s encoded rules, written in CLHEAR, an open language, designed to link to your policies, controls, owners and evidence.
See the graph
The story
One firm. One domain. Nine steps.
How Reg42 is designed to work. Follow Example Markets, a fictional global broker, from its own records to a plan that closes each gap in AI conformance. Switch between the US, UK and EU at any time.
EMExample Markets · AI conformance in the US
Map.
Connect the records you own, and ask what happens today.
01Where do I start?
Start with your own records.
Connect the records compliance already owns: policies, controls, committee minutes, owners and evidence. Inside your cloud account, they become the first layer of your context graph.
Your records · Example MarketsContext graph
DocumentsDocument store
SystemsSupport platform
Data feedsTeam chat archive
DocumentsShared drive
Communications standards v5Document · Head of Compliance
Chat transcripts, archived dailySystem · Head of Client Services
Approvals in team chatProcess · Head of Marketing
Legacy prompt spreadsheetAsset · Marketing team
Connected inside your cloud account, each record with its owner. No rules are applied yet.
Picture: the example firm's systems, such as its document store and support platform, connected to the records compliance owns, each with its kind and owner.
02What happens today?
Ask what happens today, and see the source.
Solon is designed to answer from your connected records, with the source, owner and evidence behind each answer. Gaps and tasks come next, once the rules are added.
Solon · Example MarketsYour records
Which controls cover our AI use cases today?
Three records cover them today. The communications standards v5 cover AI-drafted posts and chatbot answers, the support platform archives every chatbot conversation each day, and the Head of Marketing approves each post in team chat before it goes out.
SourceCommunications standards v5 · Document storeChat transcripts · Support platformApprovals · Team chat archive
OwnerHead of ComplianceHead of Client ServicesHead of Marketing
EvidenceArchive capture, 19 Oct 2026Approval message, 16 Oct 2026
GapsTasksNext, once the rules are added
Picture: a question to Solon about which controls cover the firm's AI use cases today, answered with its sources, owners and evidence.
Compare.
Add the rules, describe your firm, and see each gap.
03Which rules apply?
Add the rules, clause by clause.
Reg42’s encoded rules are designed to keep each official text verbatim, clause by clause, with its source and date. Start with one jurisdiction.
SourcesL1
FINRA Rule 2210
Communications with the Public
FINRA Rules · Version in force since 16 August 2019
2210(d)(1)(B), first sentence“No member may make any false, exaggerated, unwarranted, promissory or misleading statement or claim in any communication.”
Kept verbatim, with a copy stored for citation
Picture: a shelf of the three jurisdictions in the story with the selected one pulled out, showing its official reference, its date and the verbatim text of one clause.
04What makes them apply to us?
Describe your firm in CLHEAR.
Countries, licenses, products, clients, channels and AI use cases. These facts decide which obligations apply.
Profile · Example MarketsL4
- Countries
jurisdictions - United States
- Licenses
authorisations - FINRA member broker-dealer
- Products
products - StocksETFs
- Clients
customer_base - Retail
- Channels
channels - Mobile appSocial media
- AI use cases
ai_use_cases - In-house support chatbotAI-drafted marketing posts
Only these facts decide which obligations apply. Controls, owners and evidence stay in your systems.
Picture: the example firm's profile, with its countries, licenses, products, clients, channels and AI use cases lighting up as they are chosen.
05What do the rules require of us?
The program you should have, traced to each clause.
Reg42 lists what your firm must have, written in CLHEAR: policies, roles, systems and processes. This is your reference blueprint, and every item links back to its clause.
Reference blueprint · US · FINRAL6
2210(b)(1)(A)A principal approves each retail communication before use
2210(d)(1)(A)Keep communications fair and balanced
3110(b)(4)Review correspondence with customers
17a-4(b)(4)Keep the communications sent and received
3110(b)(1)Keep written supervisory procedures
Principal approval of AI-drafted postsProcess · 2210(b)(1)(A)
Content standards for AI outputDocument · 2210(d)(1)(A)
Review of chatbot answersProcess · 3110(b)(4)
Chatbot transcript recordsSystem · 17a-4(b)(4)
Procedures for AI toolsDocument · 3110(b)(1)
What the rule requires
Picture: the reference blueprint. Each required item is drawn with a dashed periwinkle outline and linked to the clause it comes from.
06Where are we short?
Each gap, item by item, with the reason.
Your records are matched against the reference blueprint. Covered items fill in, gaps stay open, and mismatches and extras are marked.
Gap analysis · US · FINRARules × your records
2 covered2 gaps1 mismatch1 surplus
Principal approval of AI-drafted posts2210(b)(1)(A) · Approved in chat by marketing, not by a registered principalMismatch
Content standards for AI output2210(d)(1)(A) · Cover AI-drafted posts and chatbot answersCovered
Review of chatbot answers3110(b)(4) · No one reviews what the chatbot sendsGap
Chatbot transcript records17a-4(b)(4) · Every conversation keptCovered
Procedures for AI tools3110(b)(1) · Procedures do not cover AI toolsGap
Legacy prompt spreadsheetNot traced to any clauseSurplus
Picture: the firm's records matched against the reference blueprint. Covered items are filled, gaps stay empty, and the mismatch and the surplus item are marked, each with its reason.
Comply.
Close each gap, keep the decision trace, and stay current.
07What do we do next?
A plan to close each gap, with your tools or Reg42 OS.
Each gap becomes a task with an owner across the three lines of defense: use an existing tool, generate a document, assign a role, install an app or run a workflow.
Action plan · US · FINRA4 tasks
1st line · the business2nd line · compliance3rd line · independent review
Generate a documentAdd AI tools to the supervisory proceduresGapProcedures for AI tools · 3110(b)(1)HCHead of Compliance2nd line
Install an appRoute every AI-drafted post to a registered principalMismatchPrincipal approval of AI-drafted posts · 2210(b)(1)(A)HMHead of Marketing1st line
Install an appInstall a daily review of chatbot answersGapReview of chatbot answers · 3110(b)(4)CSHead of Client Services1st line
Assign a roleName an independent reviewerGapProcedures for AI tools · 3110(b)(1)IAInternal Audit3rd line
Picture: the action plan. Each gap becomes a task with an action type, an owner and a line of defense.
08How do we show it’s done?
Every approval, kept as a decision trace.
Evidence flows back onto the item it proves. Each approval is kept as a decision trace: who decided, on what, and why.
Evidence · Principal approval of AI-drafted postsDecision trace
Principal approval of AI-drafted postsProcess · 2210(b)(1)(A)MismatchCovered
From production
- Post approved before useAI post review app · 22 Oct 2026
- Approver and date archivedSocial media archive · 22 Oct 2026
- Next procedures review bookedWorkflow · Jan 2027
Route every AI-drafted post to a registered principalDoneHMHead of Marketing
- Solon checked the draftWhy: against 2210(d)(1)(A)
- Registered principal approved itWhy: fair and balanced, before first use
Picture: evidence arriving onto one item, which turns covered, while its task moves to done and the decision trace records who approved it and why.
Interlude · Solon
Ask the example firm.
Frontier models, equipped with context. Ask the example firm a question, and the answer arrives with the obligations, items, evidence and clauses behind it.
- In your cloud. Solon is designed to run in your cloud account, next to your data, and to use frontier models, Claude included, through your own cloud provider.
- Grounded in your graph. Obligations, blueprint items, evidence and clauses, all linked.
- Built to be measured. The goals, against the same model without the graph: more accurate, lower cost, with history, every action traced and linked to evidence. Each goal will be measured by evals on the firm’s own tasks.
Solon · Example MarketsSIMULATED
What do FINRA and SEC rules require of our AI tools?
- Reading the firm profile
- Resolving the obligations that apply
- Walking the blueprint graph
- Checking evidence and clauses
FINRA’s rules apply to AI-drafted posts and chatbot answers as they do to any communication, and the firm is responsible for their content. A registered principal must approve each marketing post before use, every communication must be fair and balanced, and the chatbot’s answers must be supervised like other communications. SEC rules require every conversation to be kept, and written procedures must cover the AI tools.
ObligationsApprove each retail communication before useKeep communications fair and balancedReview correspondence with customersKeep the communications sent and receivedKeep written supervisory procedures
Blueprint itemsPrincipal approval of AI-drafted posts MismatchContent standards for AI output CoveredReview of chatbot answers GapChatbot transcript records CoveredProcedures for AI tools Gap
EvidenceNone yet
ClausesFINRA Rule 2210(b)(1)(A)FINRA Rule 2210(d)(1)(A)FINRA Rule 3110(b)(4)SEA Rule 17a-4(b)(4)FINRA Rule 3110(b)(1)Rule 2210 FAQs B.4 and D.8
A replay on a fictional firm with simulated data. It is an example, not a live client.
09What happens when the rule changes?
When the rule changes, see exactly what changes for you.
A changed clause travels up through the blueprint to the one task it affects, with a named owner.
Change feed · US · FINRAWatched
- 1Clause changes SIMULATEDFINRA Rule 2210(d)(1)(A)Amendment published
- 2Obligation updatesKeep communications fair and balanced
OBL:finra-2210#d-1-a - 3Item flaggedContent standards for AI outputNeeds new wording
- 4Task createdUpdate the content standardsHCHead of Compliance
Picture: a change feed. A clause change updates an obligation, flags one blueprint item, and creates one task for a named owner.
Zoom out
Start with one. Add the next on the same path.
Each jurisdiction adds its blueprint, and the blueprints join into one AI conformance program. An item that serves more than one rule appears once.
US · FINRA
UK · FCA
EU · AI Act
One AI conformance programExample Markets
- Principal approval of AI-drafted postsUS
- Content standards for AI outputUS + UK + EU
- Review of chatbot answersUS
- Chatbot transcript recordsUS + UK + EU
- Procedures for AI toolsUS + UK + EU
- Customer testing of AI answersUK
- Route from the chatbot to a personUK
- AI disclosure in the chatbotEU
- Machine-readable AI markingEU
One program, one domain at a time.
Become a design partner