Regulatory Filings and Registrations

When it comes to regulatory filings and registrations, timing and accuracy are key. These can be complex processes to tackle internally while also running a business – especially with ever-changing rules and regulations. Our team at Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”) assists investment advisers, broker-dealers, and investment companies with completing required regulatory registrations and filings, overseeing processes on all registration applications, and providing guidance on any additional steps that may be necessary to help set up your firm for continued success. As a team of former in-house CCOs, former state regulators, and compliance professionals, we have decades of experience and knowledge of the latest industry updates to help you through each process.

We aim to place value in your most treasured commodity – your time. We work as an extension of your team, so you can focus on growing your business. We take the time to get to know each firm and its representatives to ensure all policies, procedures, and filing documents are customized to the client’s business needs.

Learn More About Our Customized Regulatory Filing and Registration Services

Core Compliance

can help you with:

  • Registrations: SEC, State, FINRA, & Exempt Reporting Adviser
  • Drafting Customized Policies & Procedures 
  • Drafting Privacy Notices
  • Drafting Compliance Program Calendar
  • Updating & Filing Form ADV, Form CRS, Form ADV-W, Form PF
  • Drafting & Filing Forms U4 & U5
  • Drafting & Filing Form 13F, Form 13H, Schedule 13D/G
  • And Much More

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