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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1. Fill out all required fields
2. Click ReCAPTCHA
3. Click Register
4. Re-enter user/password on login screen

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

Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)