Limited case-data footprint
Manual case inputs and generated results stay in the active browser session rather than an application case database.
Compliance-conscious by design
A smaller case-data footprint. A clearer path to firm review.
RetireTax Scan Pro is designed to reduce unnecessary case-data persistence while leaving supervision, communication review, and required recordkeeping where they belong: with the advisor and firm.
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Version 1.5 | Effective July 16, 2026
The case-data boundary
Client case information is used for the review, not retained in a permanent client database.
Enter
Manual, limited case facts
Analyze
Scoring during the active review
Export or clear
User-controlled PDF and deletion
Authentication and hosting providers may retain ordinary account, security, and technical logs separate from the case-entry fields. A PDF saved by the user remains on the user's device or selected destination until the user or firm disposes of it.
Compliance review support
Give your compliance team a documented starting point.
The packet consolidates the current product scope, browser-session architecture, data-handling and security boundaries, service providers, firm responsibilities, approval checklist, regulatory references, and controlling software disclosures.
Download the 11-page PDF packetBuilt to make review easier
Design choices a compliance team can evaluate clearly.
These controls can reduce unnecessary exposure and make the workflow easier to supervise. They do not create a regulatory exemption or replace a firm's approval process.
User-controlled case lifecycle
The advisor can clear the active case after saving any report the firm requires. Signing out or changing users also removes the active session data.
No unnecessary identifiers
The interface warns users not to enter Social Security numbers, full account numbers, passwords, credentials, or other unnecessary sensitive identifiers.
Preliminary, non-promissory language
Outputs are framed as review indicators, not guaranteed savings, diagnoses, individualized advice, or recommendations to implement a product or strategy.
Consistent disclosure package
The screen and exported report explain assumptions, data limitations, official-record reliance, professional coordination, risk, and government non-affiliation.
Firm-controlled records
The software does not act as a books-and-records archive. Firms decide whether reports and related communications must be approved, delivered, and retained.
The important regulatory distinction
Local processing does not cancel a required record.
FINRA guidance explains that recordkeeping turns on the content and business purpose of a communication, not the device or technology used. A client-facing report, email, advertisement, or supporting communication may still require supervision and retention even when the case was processed locally. The firm's written procedures and applicable rules control.
Read FINRA's technology-neutral guidanceRegulatory alignment map
Product controls and firm responsibilities remain separate.
The exact requirements depend on the firm's registration, business, jurisdiction, client relationship, communication, and use of the report.
Books and records
FINRA Rule 4511; Advisers Act Rule 204-2
Product design
No automatic application case archive; user-controlled PDF export.
Firm decision
Determine which reports, advertisements, correspondence, and supporting materials are required records, then retain them in the firm's approved system.
Supervision
FINRA Rule 3110
Product design
Authenticated advisor access, consistent workflow, fixed disclosures, and repeatable output.
Firm decision
Approve the tool and use case, define written supervisory procedures, assign reviewers, train users, and monitor use.
Client communications
FINRA Rule 2210; SEC Marketing Rule
Product design
Restrained planning language, no guaranteed outcomes, visible qualifications, and sources for public statistics.
Firm decision
Classify each use, complete required principal or compliance review, add firm-specific language, and retain communications where required.
Privacy and safeguards
SEC Regulation S-P; applicable state privacy and security requirements
Product design
Case fields remain in browser session storage and are not intentionally sent to an application case database.
Firm decision
Assess the vendor and workflow under privacy, cybersecurity, incident-response, access-control, and disposal policies.
Firm approval checklist
A practical starting point for compliance review.
No software can approve itself for every broker-dealer, RIA, insurance agency, or jurisdiction. A documented review is the credible path.
Confirm the intended prospect and client use cases.
Decide whether generated reports require pre-use approval or post-use review.
Route required reports and communications into the firm's approved archive.
Confirm approved disclosures, branding, advisor identification, and delivery language.
Document access, user provisioning, offboarding, and credential requirements.
Train users to exclude unnecessary sensitive identifiers and clear completed cases.
Review the provider under the firm's privacy, cybersecurity, and vendor-management process.
Primary references
Built from the rules, not a compliance slogan.
These links are provided for review and context. They are not a legal opinion, regulatory approval, or a complete list of requirements.
FINRA Rule 4511 - General books and records requirementsFINRA Rule 3110 - Supervision and written supervisory proceduresFINRA Rule 2210 - Communications with the publicFINRA Regulatory Notice 11-39 - Technology-neutral recordkeeping guidanceSEC investment adviser marketing and related recordkeeping guidanceSEC Regulation S-P amendments - Customer information safeguards
No automatic compliance certification. RetireTax Scan Pro is independent software. Each advisor and supervising firm remains responsible for determining whether and how the software, reports, disclosures, communications, and records may be used under its policies and applicable requirements. Where a general software disclosure conflicts with a firm or legally required disclosure, the applicable firm or required disclosure controls.
Founding membership
Give your compliance team a clearer product to evaluate.
Review the privacy-conscious workflow, disclosure package, and firm-control boundaries before using the scanner in practice.