SEC* or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B; Part 2A & B, and Part 3 (CRS*) Brochure Filings
Supplemental Forms:
Investment Advisory/Financial Planning Agreement
Policies & Procedures Manual; Business Continuity Plan; Privacy Policy Notice
Regulatory Mapping
Jurisdictional
Framework/research
Compliance Portals
CCO/CO services
Compliance*
Operations*
*Joint projects with partners
Up to 6 (add-on available)
Registrations
Partial Registration
SEC to State registration
State to SEC registration
Additional states
Quarterly/Ongoing Reviews
Periodic Reviews of books/records
Action Plan
Policies/Procedures Check
Mock Audit
(Up to 3 users)
Desktop SolutionPremium+ Version
Mobile Solution
Basic Version**
Premium Version
(add-on fee applies)
Up to 4 (add-on available)
Registrations
Partial Registration
SEC to State registration
State to SEC registration
Additional states
Quarterly/Ongoing Reviews
Policies/Procedures Check
(Up to 1 user)
Desktop SolutionPremium+ Version
Mobile Solution
Basic Version**
Premium Version
(add-on fee applies)
Up to 2 (add-on available)
ReviewsPolicies/Procedures Check
(Up to 1 user)
Desktop SolutionPremium+ Version
Mobile Solution
Basic Version**
Premium Version
(add-on fee applies)
Regulatory Mapping
Jurisdictional
Framework/research
Compliance Portals
CCO/CO services
Compliance*
Operations*
*Joint projects with partners
Up to 6 (add-on available)
Registrations
Partial Registration
SEC to State registration
State to SEC registration
Additional states
Quarterly/Ongoing Reviews
Periodic Reviews of books/records
Action Plan
Policies/Procedures Check
Mock Audit
(Up to 3 users)
Desktop SolutionPremium+ Version
Mobile Solution
Basic Version**
Premium Version
(add-on fee applies)
Up to 4 (add-on available)
Registrations
Partial Registration
SEC to State registration
State to SEC registration
Additional states
Quarterly/Ongoing Reviews
Policies/Procedures Check
(Up to 1 user)
Desktop SolutionPremium+ Version
Mobile Solution
Basic Version**
Premium Version
(add-on fee applies)
Up to 2 (add-on available)
ReviewsPolicies/Procedures Check
(Up to 1 user)
Desktop SolutionPremium+ Version
Mobile Solution
Basic Version**
Premium Version
(add-on fee applies)
Compliance Calendar
Guidelines
Alerts
Checklists
Maps
Forms
Disclosures/Filings
Video Library
Review Center
Integrations
File Portals
Cloud Storage Directory
Secure Files Portal
Client Center
Project Center
Document Portal
Disclosure Center
Public Disclosures
Staff Disclosures
Basic Version included
Premium Version (Add-on fee applies)
Compliance Calendar
SEC/State Guidelines
Networking
Vendor/Offers Directory
Consulting
Financial Networks
Assistance with marketing & technology systems development
Prospective Lead List
Additional Services
Compliance Cybersecurity
And More (Upon Request)
Consulting
Individual Firms
24 hrs per quarter
8 hours per month
Assistance with marketing & technology systems development
Directory Listing
Prospective Lead List
Additional Services available from vendor network
(upon request)
Consulting
Individual Firms
24 hrs per quarter
8 hours per month
Assistance with marketing & technology systems development
Directory Listing
Prospective Lead List
Consulting
Individual Firms
24 hrs per quarter
8 hours per month
Assistance with marketing & technology systems development
Directory Listing
Prospective Lead List
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