COMPLY Registration Services

SEC and State Investment Adviser Registration

Ready to start a new RIA? We’re here to help! Whether required to register with the SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.

Leverage our team of industry professionals and former regulators for your registration and business planning process. We can help you every step of the way, including providing a curated list of organizations that we regularly work with to assist with other legal or business services you may need.

FINRA Broker-Dealer Membership Service

Open your new broker-dealer firm with an effective compliance infrastructure from day one. Financial Industry Regulatory Authority (FINRA) membership does not come easily, especially considering the in-depth knowledge and exhaustive effort that is required to complete the appropriate filings. COMPLY compliance professionals apply efficiency and knowledge to the process, guiding broker-dealers through registration and helping you establish your practice.

IAR and Representative Registration

Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts. Track and maintain:

• Registration states
• The status of a rep’s license request
• Series 65 certifications for your reps
• Your reps CE requirements
• And more!

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.

SOLUTION AND SERVICE INNOVATION

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.

REGULATORY EXPERTISE

The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.