| Customized, Regulator Specific Manual (SEC Registered Investment Advisor) | $2,495.00 | |
| Regulator Specific Customized Manual (State Registered Investment Advisor) | $1,995.00 | |
| Sample WSP/CoE Section - Form ADV Part 3 | $250.00 | |
| Self-Customized, Regulator Specific Compliance Manual (SEC Registered Investment Advisor) via RIA Express | $995.00 | |
| WSP/CoE Section - Advertising | $400.00 | |
| WSP/CoE Section Update - Account Type Suitability (Commission vs. Fee) | $250.00 | |
| WSP/CoE Section Update - Account Type Suitability (Wrap v. Non-Wrap Fee Account) | $250.00 | |
| WSP/CoE Section Update - Broker-Dealer v. Advisory Accounts - Policy/Procedures Only | $175.00 | |
| WSP/CoE Section Update - Communicating with the Press/News Media | $250.00 | |
| WSP/CoE Section Update - Different Fee Rates for Asset Classes in Retirement Accounts | $250.00 | |
| WSP/CoE Section Update - IAR Licensing in New York | $250.00 | |
| WSP/CoE Section Update - Identity Theft & Wire Fraud | $250.00 | |
| WSP/CoE Section Update - Insurance Agent (Not IAR Licensed) Attending Client Meeting | $250.00 | |
| WSP/CoE Section Update - Inverse & Leveraged ETFs | $250.00 | |
| WSP/CoE Section Update - Investment Adviser Succession Plan | $250.00 | |
| WSP/CoE Section Update - Mutual Fund Share Class Selection | $250.00 | |
| WSP/CoE Section Update - Non-Licensed Owner of RIA | $250.00 | |
| WSP/CoE Section Update - Participation on Investors Committee by Supervised Person | $250.00 | |
| WSP/CoE Section Update - Protecting Older and Vulnerable Clients with Diminished Capacity | $250.00 | |
| WSP/CoE Section Update - Recommending FIA in lieu of SMA is Retirement Account | $250.00 | |
| WSP/CoE Section Update - Reports to Parent Company Do Not Trigger Supervised Person, Access Person | $250.00 | |
| WSP/CoE Section Update - Section 13 Filings | $250.00 | |
| WSP/CoE Section Update - Text Messaging Permitted | $250.00 | |
| WSP/CoE Section Update - Wrap v. Non-Wrap Account | $250.00 | |
| WSP/CoE Section Update – Text Messaging Prohibited | $250.00 | |
