Small Firm Compliance is a one-stop shop for small broker-dealers and RIAs. It brings together a vendor directory, quote requests, a deadline calendar, and curated free SEC, FINRA, and NASAA resources, all in one place.
Everything on this site is general information. It is not legal, tax, accounting, or compliance advice, and it does not create any professional relationship. Rules change, and the right answer depends on your firm's facts. Confirm deadlines and obligations with your CCO, FINOP, or counsel. Any templates we publish are starting points to review with counsel.
Listings come from firms' public websites and are unverified and not endorsed. Free listings are ordered alphabetically. If we ever sell featured placement, it will be clearly labeled "Sponsored" and kept separate from free listings. We do not publish fake or paid reviews.