SEC and FINRA books-and-records tools for RIAs

Free calculators, planners and checklists for the records an RIA or a small broker-dealer must keep, with plain guides to the rules behind them.

Open the free tools Read the guides

Stipple engraving of an open card-index drawer with one guide card standing above the rest

Records & Archiving3 tools, 4 guides, 7 comparisonsOpen the index Communications & Marketing2 tools, 4 guides, 2 comparisonsOpen the index Registration & Compliance Program7 tools, 10 guidesOpen the index

The free tools

Each one turns a rule paragraph into a date, a calendar or a checklist for your own firm, and quotes the paragraph it used.

All 12 tools

Records & ArchivingBooks and records retention calculatorPick a firm type and a record class and get the keep-until date and the easily accessible window.Open Records & ArchivingArchiving requirements matcherPick the channels your firm uses and see what must be captured, how long it is kept, and which tools cover it.Open Records & ArchivingBooks and records checklist generatorLists the records your firm must make and keep for its type and activities, with the rule paragraph for each.Open Communications & MarketingMarketing Rule ad review checklistDescribe an ad, answer a few prompts, and get the review checklist and what to keep on file.Open Communications & MarketingOff-channel communications policy builderBuilds an electronic communications policy from your approved channels, devices and archiving setup.Open Registration & Compliance ProgramRIA and FINRA compliance checklistA printable checklist by firm type covering the program, records, communications, filings and exam items.Open Registration & Compliance ProgramForm CRS builderDrafts the relationship summary's required sections from your firm's services and fee types.Open Registration & Compliance ProgramForm ADV annual amendment date plannerEnter your fiscal year end and get the annual updating amendment due date and the brochure delivery steps.Open Registration & Compliance ProgramRIA startup cost estimatorList each startup cost line, from registration fees to the tech stack, and see the total in one place.Open Registration & Compliance ProgramRIA annual compliance review plannerBuilds the year's compliance review plan from your policies: areas, owners, evidence and dates.Open Registration & Compliance ProgramRIA compliance manual templateAssembles a starting compliance manual from your firm's activities under Rule 206(4)-7 headings.Open Registration & Compliance ProgramCode of ethics reporting deadline calendarEnter access persons and their start dates to get each initial, quarterly and annual report due date.Open

How the index works

Three steps, from the rule to the record and the tool that keeps it.

01
Find the rule
Start from a guide. Each one opens on the sentence of the rule it turns on, quoted with its citation, and says what it asks a small firm to do.
Read the guides
02
Put it to work
Run the matching tool for your firm type: a keep-until date, a filing calendar, a review plan or a checklist you can print or copy.
Open the tools
03
Check what keeps it
When a record needs software, the comparisons read each vendor's own pages against the same rule and name the document to ask for.
See the comparisons

The drawers of the index

Every tool, guide and comparison is filed in one drawer. Open a drawer to see everything filed in it.

Stipple engraving of an archive box with its lid lifted and a guide card peeking out

Records & ArchivingWhat an adviser or broker-dealer must keep, for how long, and the archives that hold it.3 tools, 4 guides, 7 comparisons

Stipple engraving of a face-down mobile phone lying on a sealed envelope

Communications & MarketingTexts, emails, social posts and ads: what must be captured, reviewed and kept on file.2 tools, 4 guides, 2 comparisons

Stipple engraving of an upright ring binder with a fountain pen leaning against it

Registration & Compliance ProgramForm ADV, the compliance program rule, the code of ethics and the FINRA rules a small firm runs on.7 tools, 10 guides

Stipple engraving of a closed laptop lying on top of a card-index box

Software & ServicesCRMs, compliance platforms, surveillance tools and consultants, read against the duties each one touches.2 guides, 11 comparisons

Newly filed guides

Plain reading on the rules a small firm works under, each quoting the paragraph it explains.

All 20 guides

SEC Rule 17a-4 and WORM storage, explainedWhat the amended Rule 17a-4(f) allows, what WORM still means, and what to ask a storage vendor.
13 min read
FINRA Rule 3110: supervision for small firmsSupervisory systems, written procedures, correspondence review and internal inspections for a small firm.
14 min read
RIA compliance: what a small adviser must runThe program, the records, the filings and the exams a small adviser runs, on one page.
13 min read
Outsourced CCO: when a small RIA should hire oneThe chief compliance officer duty under Rule 206(4)-7 and when an outsourced CCO makes sense for a small adviser.
12 min read
Regulation S-P for small advisers and broker-dealersThe customer-record safeguards Regulation S-P sets for small advisers and broker-dealers, and what the amendments changed.
15 min read
The SEC Marketing Rule for small advisersThe Marketing Rule's general prohibitions, testimonials, endorsements, third-party ratings and performance, in plain language.
15 min read

Keep the index current.

Found a date that has moved, a record type we do not cover, or a vendor we should read? Tell the editor; every message sent from the contact page is read.

Tell us what to add to the index Browse the vendor directory

SEC and FINRA books-and-records tools for RIAs

The free tools

How the index works

Find the rule

Put it to work

Check what keeps it

The drawers of the index

Newly filed guides

Keep the index current.