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 Ulloa is a Board Director, Digital Asset NMA/CMA, ATS & Real-World Asset (RWA) regulatory expert, and strategic advisor to innovation-driven firms.
She brings nearly two decades of regulatory leadership from FINRA (formerly NASD) and the Federal Reserve Bank of New York. Julia is widely recognized for her expertise in digital asset market structure and has served as the regulatory architect behind numerous FINRA/SEC-approved digital asset Alternative Trading Systems (ATSs) in the United States.
Her experience spans oversight of sales, financial, and operational practices, examinations and investigations, and financial surveillance under FINRA and SEC rules.
For the past five years, she has also served as a FINRA arbitrator, helping resolve complex disputes and uphold market integrity. As a fintech Board Director and a member of the National Association of Corporate Directors (NACD), Julia advises firms through critical moments, bringing clear, pragmatic regulatory insight that supports compliant and sustainable innovation.
She founded JU Regulation to provide not just 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.
