Item
|
Price
|
Registered Investment Advisor and Broker/Dealer
|
|
 |
CompliancE-News
- All The News That Made The News (annual subscription - 12 monthly e-mail issues)
Add to Cart - Email
|
|
$129.00 |
|
CompliancE-Alert
- Includes E-News plus 12 - 24 annual e-alerts to include research & select forms
Add to Cart - Email
|
|
495.00 |
|
|
$59.00 |
|
|
$299.00 |
|
Press
Kit Guide: How to obtain free media attention and compile a press kit [hard copy by mail only]
Add to Cart - Mail |
|
$29.00 |
|
|
$59.00 |
|
Custom
form creation |
|
call for quote
|
Registered Investment Advisor Compliance Resources
|
|
|
Go
To CEO! How to start your independent investment advisory firm (E-Book 100 pgs, PDF download)
Add to Cart - Download |
|
$25.00 |
|
|
$25.00 |
|
RIA
Do-It Yourself Guide: Compliance Primer [5 chapter binder & CD by mail only]
Add to Cart - Mail
• Registration filings
• Form ADV Guidelines (how to complete Form ADV)
• Client Advisory Agreement (managed accounts, financial planning, all advisory services) [on CD for customization]
• Recordkeeping requirements
• General information
|
|
$299.00 |
|
Written
Supervisory Procedures and Code of Ethics
Add to Cart - CD Add to Cart - Download
• Compliance Calendar
• Annual Review Documentation for Policies and Procedures
• Quarterly Report of Access Persons Securities Transactions and Holding Log
|
|
$299.00 |
|
|
$149.00 |
|
|
$149.00 |
|
State
Registration/Notice and Exemptions Matrix and IARD Survey [hard copy by mail only]
Add to Cart - Mail |
|
$99.00 |
|
RIA
Forms & Research Library
Add to Cart - CD Add to Cart - Download
• RIA Year-end Compliance Tools (renewals information and forms)
• Advertising Rule Research Report for RIA (SEC Rule and Clover No-Action Letter Summary)
• Internet Advertising: Checklists for E-Mail, Website, Blogs; Favorite Websites
• Cost of Setting Up and Maintaining Your Practice (working chart/budget planning)
• Privacy Notice/Opt Out Form and Sample Privacy Policy
• New Account Form / Basic Client Suitability Questionnaire - RIA version
• Investment Policy Statement ("IPS") Sample
• Client Checklist (new engagement steps and compliance disclosures given to client)
• Proxy Voting: RIA Rule Synopsis and Sample Language for ADV, Contract, Policy & Letter
• Best Execution Package: Research Report, Sample Policy, and 3 forms - RIA version
• Variable Annuity Risk Disclosure, Switch Form & Information Sheet (3 documents)
• Daily Blotter Cash / Daily Blotter Trading / Client Holding Log / Product Cross Reference Log
• Compliance Calendar and Annual Review Documentation for Policies/Procedures (2 forms + information sheet)
• Quarterly Report of Access Persons Securities Transactions and Holding Log (2 form set)
|
|
$349.00 |
|
|
$249.00 |
Broker/Dealer Compliance Resources
|
|
|
Anti-Money
Laundering ("AML") Audit Package
Add to Cart - CD Add to Cart - Download
• AML Audit Checklist
• AML Policy Template (enhancements from FINRA template)
• AML Customer Notice
• AML Special Measures
• AML Information Sheet
|
|
$199.00 |
|
FINRA
Continuing Education Do-It-Yourself Outline for Analysis and Training Plan [hard copy by mail only]
Add to Cart - Mail |
|
$99.00 |
|
BD
Forms & Research Library
Add to Cart - CD Add to Cart - Download
• Privacy Notice/Opt Out Form and Sample Privacy Policy
• New Account Form / Basic Client Suitability Questionnaire - BD version with disclosures (5 form set)
• Best Execution Package: Research Report, Sample Policy, and 3 forms - BD version
• Mutual Fund Class A Breakpoint Disclosure Form & Info Sheet (2 documents)
• Variable Annuity Risk Disclosure Form & Info Sheet (2 documents)
• Switch Form for Mutual Funds or Variable Annuities
• Daily Blotter Cash / Daily Blotter Trading / Client Holding Log / Product Cross Reference Log
• Internet Advertising: Checklists for E-Mail, Website, Blogs; Favorite Websites
|
|
$199.00 |
