Free for the Compliance Community
Compliance Resources
Reference tools, deadline calendars, and downloadable checklists built by FIN Group's CCO team for RIAs, broker-dealers, private funds, and CPO/CTA firms.
State Filing Fees Database
Free state-by-state lookup of investment adviser, IAR, broker-dealer, agent, and Form D / Blue Sky filing fees across all 50 states + DC. Used by compliance teams nationwide.
Open resource2026 Compliance Deadline Calendar
Searchable SEC, FINRA, NFA, and FinCEN deadline reference — Form ADV, Form PF, 13F, 13H, FOCUS, IARD renewals, AML testing, and more, filterable by firm type.
Open resourceAML Independent Testing (FinCEN 2028)
Fixed-fee BSA/AML reviews for RIAs (newly required Jan 1, 2028), broker-dealers (FINRA 3310), fintechs, MSBs, and private funds. Scope a fixed-fee proposal in three minutes.
Open resourceFree 2026 CCO Annual Review Checklist
10-section PDF checklist covering Form ADV, marketing rule, code of ethics, books & records, cybersecurity, custody, BCP, and more. Delivered to your inbox.
Open resourceRIA Startup & Business Setup Checklist
101 items across 10 steps for advisers who have not registered yet - entity formation, banking, custodian selection, technology stack, E&O and cyber insurance, day-one compliance program, client agreements, and go-live.
Open resourcePrivate Fund & ERA Launch Setup Checklist
104 items across 10 steps for first-time fund managers - structure and exemptions (3(c)(1) vs 3(c)(7), 506(b) vs 506(c)), GP and management company formation, fund economics, LPA and PPM, administrator and auditor selection, EDGAR and Form D filings, AML/KYC onboarding, and fundraise readiness.
Open resourceNew Firm Registration Checklist
72 items across 10 phases for advisers registering with the SEC or a state — jurisdiction test, IARD/CRD setup, Form ADV Parts 1A/2A/2B, Form CRS, day-one policies, and the first-year deadline calendar.
Open resourceAML Program Starter Kit
Five-pillar AML/CFT program outline for RIAs and ERAs under FinCEN's rule effective January 1, 2028 — CDD and beneficial ownership worksheet, SAR decision tree, and independent testing scope.
Open resourceMarketing Rule Ad Review Checklist
Reviewer's pass/fail sheet for SEC Rule 206(4)-1 and FINRA 2210 — general prohibitions, testimonial and endorsement disclosures, net performance, hypotheticals, third-party ratings, and recordkeeping.
Open resourceMock SEC Exam Prep Kit
Run a full exam rehearsal — document request list, CCO and staff interview question banks, readiness scoring sheet, first-48-hours plan, and a deficiency-letter response playbook.
Open resourceMarketing Review Benchmarks (Live)
Live, aggregated compliance data from RegReview and ADScanner: top Marketing Rule flags, avg risk score by industry pack, jurisdiction mix, and RegReview approval turn-time. Refreshed monthly.
Open resourceFree Marketing Compliance Scan
Paste any adviser or fund URL and get an AI-graded scan against SEC Rule 206(4)-1 and FINRA 2210 — with top findings emailed to you. Powered by ADScanner + RegReview.
Open resourceSEC vs State Registration Calculator
Free calculator that routes retail, private-fund, and VC advisers to SEC, State, ERA, or the 15-state multi-state exemption based on AUM and jurisdictions.
Open resourceRIA vs. ERA — Which Registration Applies?
Decision framework for new advisers and fund managers: client type, the $150M private fund and $110M SEC thresholds, Form ADV scope, compliance obligations, setup costs, and when an ERA must convert to a registered adviser.
Open resourceIAR Continuing Education (CE) Requirements
The NASAA IAR CE rule explained — 12 credits a year (6 Ethics, 6 Products & Practice), the Dec 31 deadline, CE Inactive status, and a free per-rep CE tracker.
Open resourceMissed a Form D or annual amendment?
Missed your Form D or annual amendment? What the 15-day deadline means, what happens if you file late, Blue Sky state notices, and how to get current.
Open resourceFiled an NT N-CEN?
Form N-CEN is due 75 days after fiscal year end. What an NT N-CEN (Rule 12b-25) notice does, the 15-day extension, and how funds get current.
Open resourceMissed your NFA annual affirmation?
CFTC 4.13(a)(3) and 4.5 exemptions must be affirmed within 60 days of year end. What happens if your exemption lapses on NFA BASIC and how to reinstate it.
Open resourceLapsed LEI?
A Legal Entity Identifier must be renewed every year or it shows as lapsed in GLEIF. Why it matters for funds and filings, and how to renew and clean up entity records.
Open resourceMissed your FinCEN MSB renewal?
Money services businesses must renew FinCEN registration every two years. Renewal deadlines, Form 107, agent lists, and how to get current if you missed it.
Open resourceForm 13F filing deadlines for 2026: due 45 days after quarter end?
2026 Form 13F due dates: Feb 17, May 15, Aug 14 and Nov 16. Who must file, the $100M threshold, weekend and holiday rules, and what to do if you file late.
Open resourceFINRA Rule 11870: customer account transfers, explained?
FINRA Rule 11870 in plain English: validating a transfer instruction within one business day, completing ACATS transfers within three business days after validation, exceptions, and supervisory controls.
Open resourceFINRA Rule 4512(c): what counts as an institutional account?
FINRA Rule 4512(c) defines an institutional account: banks, insurers, registered funds, registered advisers, or entities with $50M+ in total assets. What it means for account records and trusted contacts.
Open resourceFree Missed Filing Recovery Kit
30-item catch-up checklist for late Form D and Blue Sky notices, NT N-CEN, lapsed NFA exemptions, lapsed LEIs, and FinCEN MSB renewals.
Open resourceQualified Client vs. Qualified Purchaser
Side-by-side guide to Rule 205-3 and Section 2(a)(51) — current dollar thresholds, when each applies to performance fees, and 3(c)(1) vs. 3(c)(7) fund eligibility.
Open resourceDo I Need to File a Form D?
Form D timing from the first sale (not the closing), late-filing exposure, Rule 503(a) annual amendments for continuing offerings, and the state Blue Sky notice filings that travel with it.
Open resourceFund Launch Pack — Launch a Fund from $2,500
Flat-fee offering packet for a new fund or SPV: subscription agreement, investor suitability questionnaire, side letter shell, LP term summary and a sequenced launch checklist, drafted from a guided intake.
Open resourceFractional Fund COO — Scope & Pricing
What a fund COO actually owns — vendors, cash controls, close and NAV, audit and K-1 cycle, LP reporting, and operational due diligence — with published monthly pricing from $3,500 and an in-house cost comparison.
Open resourceFund Operational Readiness Assessment
Free 80-item self-assessment that scores your fund's operating function the way an institutional allocator will — vendor stack, wire controls, close and NAV tie-out, audit readiness, LP reporting, and an ODD question bank.
Open resourceFund, Entity & Public Holdings Filings
Flat-fee 13D/13G, Section 16 Forms 3/4/5, Form 144, Form N-PX, BEA and TIC surveys, Form ADV-E/ADV-W, EDGAR access, state annual reports and foreign qualifications.
Open resourceFund Operations Academy
Training for fund operations, finance, IR and administrator teams — capital calls, fee and expense allocation, audit and K-1 calendar, LP reporting and DDQs. Free one-pager.
Open resourceLP Product Strategy for GPs
Co-investments, SPVs, continuation funds, separate accounts and evergreen funds — the conflicts, disclosures and filings to plan before you go to LPs. Free one-pager.
Open resourceFractional Paraplanning
Plan builds, meeting prep and follow-ups for RIAs and advisers, with a Paraplanning Agent coming soon. Per-plan and monthly pricing. Free one-pager.
Open resourceCompliance Workflow Library
All 17 compliance workflows in one place — the intake, the ordered steps, the reviewer, and the exam record each one leaves behind. Filter by area and firm type to see which to turn on first.
Open resourceAgent Access — Compliance from Claude or ChatGPT
How a firm connects its compliance program to the AI assistant it already approved: what can be asked, what gets connected, per-user sign-in, and the governance log an examiner will expect.
Open resourceHow Much Does Fund Administration Cost?
2026 fund admin price bands for emerging managers — SPV, quarterly-close and monthly-close NAV fees, setup costs, what moves the number, and what a fund admin fee should include.
Open resourceWhat is Fund Administration?
Plain-language definition and the five core functions — fund accounting, ASC 820 valuation, NAV with a three-way tie-out, investor capital accounting, and audit and tax support.
Open resourceHow Much Does an Outsourced CCO Cost?
2026 price bands for fractional and outsourced CCO engagements by firm type — monthly fees, program build costs, what moves the number, and the questions that expose an underscoped quote.
Open resource2028 RIA AML Compliance Guide
Complete guide to FinCEN's final AML/CFT rule for SEC-registered RIAs and ERAs — five pillars, CDD, SAR/CTR, BSA/AML independent testing scope, timeline, and program cost benchmarks. Effective January 1, 2028.
Open resource2026 Annual Benchmark Report
Reserve the FIN Group Annual Benchmark Report — aggregated, anonymized compliance benchmarks from RegReview, InvestPrep, and ADScanner. See where your firm stacks up on annual reviews, marketing rule flags, cyber, AML, and fund admin.
Open resourceCompliance Blog
Weekly insights on SEC, FINRA, NFA, and state regulatory developments. Covering Form ADV amendments, marketing rule enforcement, EDGAR Next, Form PF reforms, and more.
Open resourcePricing Summary PDF
Downloadable overview of all FIN Group services and pricing — fractional CCO, fund admin, due diligence, AI portals, and platform subscriptions.
Open resourceRegulatory Notifications
Subscribe to weekly digests, calendar reminders, and rule-change alerts curated by FIN Compliance's CCO team.
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FIN Group's fractional CCO team supports RIAs, broker-dealers, and private fund managers nationwide.