Registration and the compliance program

7 tools, 10 guides

The work that runs on a calendar lives here: registering and keeping Form ADV current, writing the policies Rule 206(4)-7 asks for and reviewing them each year, collecting the reports an adviser's code of ethics requires, and the FINRA rules on suitability, reporting and anti-money laundering that a small member firm runs on.

Many of the free tools are filed here, because much of this work is dates and lists. Plan the year with the annual review planner, or start from the compliance checklist if the program is new.

Stipple engraving of a desk corner with a shelf of binders, a blank calendar, a tray and a clock — Binders, a blank calendar, a tray and a clock: a compliance program runs on dates.

Tools

RIA and FINRA compliance checklistA printable checklist by firm type covering the program, records, communications, filings and exam items.Open Form CRS builderDrafts the relationship summary's required sections from your firm's services and fee types.Open Form ADV annual amendment date plannerEnter your fiscal year end and get the annual updating amendment due date and the brochure delivery steps.Open RIA startup cost estimatorList each startup cost line, from registration fees to the tech stack, and see the total in one place.Open RIA annual compliance review plannerBuilds the year's compliance review plan from your policies: areas, owners, evidence and dates.Open RIA compliance manual templateAssembles a starting compliance manual from your firm's activities under Rule 206(4)-7 headings.Open Code of ethics reporting deadline calendarEnter access persons and their start dates to get each initial, quarterly and annual report due date.Open

Guides

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
FINRA Rule 2111: suitability for small broker-dealersWhat the suitability rule asks, how it sits beside Reg BI, and the records that show a recommendation was suitable.
15 min read
FINRA compliance for small broker-dealersThe supervision, records, reporting and filings a small FINRA member firm runs each year.
13 min read
FINRA Rule 4530: reporting requirementsWhat a small broker-dealer must report to FINRA under Rule 4530, when, and the records behind it.
12 min read
What is Form ADV?Form ADV's parts, who files each one, and what Part 1 asks item by item.
13 min read
Form ADV Part 2A brochure and Part 2B supplementWhat the brochure and the brochure supplement must cover and when they go to clients.
12 min read
How to start an RIA: the compliance pathSEC or state registration, the compliance program, records and the tech stack a new adviser needs on day one.
13 min read
Rule 206(4)-7: the compliance program ruleThe rule's three duties (written policies, an annual review, a chief compliance officer) and how small firms meet them.
13 min read
The investment adviser code of ethicsRule 204A-1 in plain language and the code-of-ethics records Rule 204-2 says to keep.
13 min read
FINRA Rule 3310: AML programs for small broker-dealersWhat FINRA's anti-money-laundering program rule asks of a small broker-dealer.
13 min read

In the vendor directory

RIA and broker-dealer compliance platformsPlatforms for policies, reviews, code-of-ethics reports and supervision at advisers and broker-dealers.
RIA and BD compliance consultantsFirms that run outsourced compliance work for advisers and broker-dealers.