Small broker-dealers and RIAs: find compliance consultants, FINOPs, outsourced CCOs and software, get 3 quotes for free, and track your SEC and FINRA deadlines in one place.
Calendar, rule changes, vetted vendors, and curated free SEC/FINRA/NASAA resources, together instead of scattered across a dozen subscriptions.
Get 3 vetted quotesThe pieces small firms usually piece together, in one place.
Compliance consultants, FINOP/CCO firms and software, including broker-dealer specialists.
Tell us what you need once; we line up providers.
FOCUS, annual audit, Form ADV, Form CRS and Rule 3130, cited to the rule text.
Rule changes, FINRA notices and enforcement in plain English.
Links to SEC, FINRA and NASAA guides and small-firm tools in one list.
Templates (review with counsel), exam-prep checklist, FINOP availability, new-firm path.
One short email a week: deadlines coming up and rule changes that matter to small firms.