Regulatory Filings

File accurately. Stay compliant. Avoid penalties.

Timely and precise regulatory filings are crucial to maintaining regulatory compliance. Errors or delays can lead to costly 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.

Let COMPLY’s experts handle the process, ensuring you file on time, every time.

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Leverage COMPLY's filing experts to help you file on time, every time.

COMPLY Regulatory Filing Services

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Form 13F and 13H

Large traders face complex, time-consuming SEC filing requirements. COMPLY simplifies regulatory filings, ensuring accurate, timely submissions for Form 13F (quarterly) and Form 13H (annually).

Investment Adviser Annual Updating Amendments

RIAs must file annual amendments, a process that can be tedious and time intensive. COMPLY provides seamless support, helping you meet filing deadlines with ease.

Form PF

Private funds face evolving SEC regulations, including stricter regulatory compliance requirements under the 2023 amendments. COMPLY ensures your Form PF is filed accurately and on time.

Form ADV

Misalignment in Forms ADV Part 1, Part 2A, Part 2B, and Part C can create compliance challenges. COMPLY’s filing experts help you maintain accuracy across all required submissions.

Form BD

Broker-dealers must register with the SEC, FINRA, and state regulators via Form BD. COMPLY assists with initial filings and ongoing updates, keeping you in regulatory compliance.

Why COMPLY?

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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.

Who We Serve

COMPLY Product Suite

COMPLY for Businesses

COMPLYConnect 2025, Miami, FL

Join Us: October 14 – 17

Compliance

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Education / CRE

3rd-Party Compliance

Resources

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