Compliance Basics: Everything You Need to Know About Registering Your Firm
Initial registration, ADVs, the SEC, oh my! Navigating all things compliance in order to register your firm can be downright scary—we get it! The good news? The XY Compliance Solutions Team is comprised of downright experts who've navigated countless registrations across every state, and one of them is sharing everything you need to know about registering your firm in our next free webinar. Join Kendra Rehm-Dehn, Manager of Investment Advisor Registrations, as she breaks registration down to the basics and paints a detailed picture of what it takes to (successfully!) register your firm. Kendra will be covering a lot, and you’ll leave with a clear understanding of compliance basics that will serve you and your firm for years to come.
Event Details
Listen in as Kendra shares her expert advice on:
- State vs. SEC registration
- Startup compliance costs
- Breaking down the compliance process
- What to expect during registration
In the meantime, you might enjoy these helpful resources:
- First Year Budget Projection
- Crafting An Annual Client Service Calendar To Illustrate A Financial Planner’s Value To Prospective Clients
- NASAA Investment Adviser Guide
- Navigating State De Minimis Exemptions from RIA Registration (or Notice Filing)
- State vs. SEC Registration: What’s the Regulatory Difference?
- Everything You Need to Know About Preparing for State Registration
- FAQs: How to Register as an Investment Advisor
