Terms of use

AdviserDeck runs adviserdeck.com. By using the site you accept these terms. If you do not accept them, please do not use the site. The site is free and needs no account.

Everything here is general information about SEC, FINRA and state books-and-records duties for investment adviser firms and broker-dealers. It is not legal, regulatory, compliance, accounting, tax or investment advice, and reading it or using a tool creates no attorney-client or other professional relationship with anyone.

What your firm must keep, for how long and in what form depends on how it is registered, what business it does, its own written policies and supervisory procedures, and the current text of the rules, which change. Check anything you plan to rely on against the primary source and with your chief compliance officer or counsel. Nothing here takes the place of your firm's compliance manual.

The calculators, planners, checklists and policy builders produce a starting point from the answers you enter. Their output is only as good as those answers and can be wrong for your firm. Review every date, period and checklist item before you file it, diarise it or adopt it.

We write from the rule text and from regulators' own pages, and we date our reviews. We cannot promise that every page reflects a change made after its review date. If you find an error, tell us at legal@adviserdeck.com and we will check it against the source.

Our comparisons and directory pages describe software from each vendor's own public pages and from public lists. We do not endorse any vendor, we do not score or star them, and a product's appearance on any list is not our recommendation. Ask the vendor for the documents named on each page before you buy.

You may use the tools and print or save their output for your own firm's work, and you may quote short passages with a link back. Please do not copy whole pages or tools to another site. Links to other sites are there for reference; we do not control those sites.

The site is provided as it is, without any warranty. As far as the law allows, AdviserDeck is not liable for any loss that comes from using or relying on the site, including an examination finding, a deficiency letter, a fine or a missed filing.

We may update these terms; the date at the top shows the current version. Questions go to legal@adviserdeck.com. How we handle data is in the privacy policy.