Regulatory Insight That Moves With You
Supporting firms in navigating FINRA and SEC compliance
OUR VISION
Precision Regulatory Expertise
Our dedicated team delivers personalized FINRA and SEC compliance solutions, including tailored regulatory inquiries, expertly conducted mock exams, and custom Written Supervisory Procedures (WSPs) designed to fit your business seamlessly.
Insightful Risk Management
We provide precise, data-backed risk assessments to strengthen your daily compliance practices, ensuring your firm is well-prepared for inspections and regulatory updates.
Specialized Crypto & Web3 Compliance
We support digital asset firms, Web3 startups, and blockchain innovators with tailored FINRA and SEC advisory built for emerging technologies.
Our Services
We meet you where you are—with strategies shaped by your structure, risk, and goals.
MEET OUR FOUNDER
JULIA ULLOA
Julia brings nearly two decades of regulatory expertise at FINRA (formerly NASD) and the Federal Reserve Bank of New York, and has spent her career at the heart of financial regulation. Her work has shaped how firms—from boutique operations to global institutions—navigate complex regulatory environments with clarity and confidence.
Julia is an expert in risk management, financial regulation, and the safeguarding of client assets. Throughout her tenure, she oversaw sales, financial, and operational practices to ensure firms met the highest standards of compliance under both FINRA and SEC rules. In addition to her regulatory leadership, Julia has served as a FINRA arbitrator for the past five years, applying her deep knowledge of the industry to resolve complex disputes and uphold market integrity.
Her role often meant guiding firms through critical transitions—mergers, acquisitions, conversions, and business expansions—while providing regulatory insight to support long-term safety and soundness. She also advised on examinations, investigations, and financial surveillance, offering clear interpretations of regulatory guidelines so firms could operate with integrity and assurance.
But Julia’s impact extended beyond regulation. As a founding member and Co-Chair of one of FINRA’s first Employee Resource Groups, she helped build spaces where innovation and inclusion could thrive within the industry.
JU Regulation was created with that same vision: to offer firms not only technical expertise, but trusted partnership. Because behind every rule is a reason—and behind every successful firm is someone who knows how to navigate both.
