“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
File with ease. File with accuracy.
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing. Late filings, incorrect filings, or misaligned filings can (and likely will) result in penalties. But whether you’re a firm of 10 or 1,000, the time commitment to file with accuracy, can often be a burdensome one.
Luckily, we’re here to help.
For large traders, the filing of Form 13F and 13H, as mandated by the SEC, can be one of the more onerous tasks. Considering the time commitment to file (quarterly for 13F and annually for 13H), it should come as no surprise that the task is often held off until the last minute. With COMPLY, you can take the burden off your team, with easy, accurate filings.
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Enhance efficiency. Ensure effectiveness. With filings backed by COMPLY experts.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing. Enhance efficiency. Ensure effectiveness. With filings backed by COMPLY experts.
Download COMPLY’s Annual Firm Registration Renewal infographic for more information on critical filing dates and information.
