Resources
Resources
Practical guides, checklists, and compliance notes for RIA compliance officers — written to reflect what the rules actually require.
3 Guides
RIA Compliance
RIA Compliance
Compliance resources for independent advisors
The Independent RIA's Guide to SEC Rule 206(4)-1 Compliance
A practical walkthrough of the SEC Marketing Rule requirements — testimonials, performance advertising, third-party ratings, and what your compliance program needs to address.
Read guide
FINRA Rule 2210 Communication Review: A Practical Checklist for RIAs
A checklist-format guide to FINRA Rule 2210 — communication categories, pre-approval requirements, and content standards for retail and institutional communications.
Read checklist
RIA Compliance Calendar: Key Deadlines and Review Cycles for 2025–2026
An annual reference for RIA principals and CCOs — key filing deadlines, marketing review cycles, and examination preparation periods across the regulatory calendar.
Read calendar