Demo/Join Our Network

Three Ways to Connect




1 - See benefits in our network


Integrate compliance events to/from apps using Zapier

Delivering communications through a smartphone

Learn more about our virtual marketing officer services

2 - Receive a Quote for Services


Use our Contact Form to describe Compliance, Technology, Mobile, or Marketing Support needs,
and we’ll respond with a quote and overview.

3 - Register to View our Compliance Calendar

(sample compliance tasks shown in green)



















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SEC (and some state-registered*) Firms


Marketing (Testimonial) Rules
Compliance Date: Nov 4, 2022
Use client testimonials in compliance with new Rule 206(4)-1 provisions
Use our sample testimonial disclosure generator


SEC Cybersecurity Proposal


Compliance Date: 2023 (TBD)
SEC Proposed changes to Rule 204-(6):
Where do you stand with proposed cybersecurity provisions?
Take our assessment


SEC and State ERISA Plan Fiduciaries


Department of Labor Prohibited Transaction Exemptions (PTE)
Compliance Date: 6/30/2022
Login to our Review Center for a summary of procedures


Investment Advisor Representatives (IARs)


NASAA Continuing Education Requirements (CE)
Compliance Dates: 2022/23 & beyond
States adopting (or proposed) rule include: Arkansas, Kentucky, Maryland, Michigan,
Mississippi, Nevada, Oklahoma, Rhode Island, Vermont, Washington, D.C., Wisconsin*
Login or Register to our Compliance Calendar for more updates

* Some states have not adopted new rule provisions


New Impact


Our Founder, Cory Roberson is now volunteering as a youth mentor for a profit called
Leaders of Men based in Fairfield, CA


New Services


Virtual Marketing and Technology Support
Disclosure mobile app for communications
Integrations on Zapier


Contact Us to inquire about rule provisions in your state jurisdiction or for additional services

See Us In Action

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Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)


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