As a low-cost alternative to consulting services, you may select from a menu of do-it-yourself compliance resources. These are user-friendly customizable templates, guides, and forms. Your choices also include research reports and monthly subscriptions to the latest in regulatory news and alert services.
Registered Investment Advisor Compliance Resources
Registered Investment Advisor and Broker/Dealer
Broker/Dealer Compliance Resources
© 2017 The Consortium®. All rights reserved. The compliance resources have been prepared for the internal use of financial services professionals and their supervised persons ("rightful purchaser"). The compliance resources may not be downloaded or used in any manner by compliance consultants, attorneys, or others who offer consulting services to financial services professionals. The rightful purchaser acquires only a copy of the products purchased and a license to use those products internally for its financial services regulated supervised persons, and as otherwise may be required by law. The rightful purchaser may not reproduce, distribute, republish or create derivative works from the products except as expressly provided for herein. The Consortium retains sole ownership of the copyright in the products, and all rights related thereto.
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