FINRA entitlement process: creating your firm’s IARD/CRD account
Form ADV, Form U-4
Additional documents/processes required by your jurisdiction(s)
Policies and Procedures Manual customized to your business model and jurisdiction(s)
Review of marketing materials and website
Compliance calendar
Documentation tools to help you demonstrate that you’re doing what your jurisdiction requires—or in the words of a competitor, “a bunch of stuff you don’t need.” IOW, stuff they don’t provide!
