This sample form was designed to model the format in which the U.S. Securities and Exchange Commission typically requests investment advisers to submit their trade blotters during an examination. This sample form can be used by an investment adviser to track their client trades with all the categories which are commonly requested to be provided by the SEC. This sample form is provided in a Microsoft Excel spreadsheet and is separated into 4 different sections (Equities, Fixed Income, Mutual Funds, Cash).
This sample form is not a comprehensive list of all categories or variables which the SEC may request and should be considered as a starting point; this sample form does not cover all specific scenarios an investment adviser firm may run into when being examined by a securities regulator. Please see our disclosure about the limitations of sample forms at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document. For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/
Included in the Sample Forms, Value, Bronze, Silver, Gold and Platinum Packages. Initially posted in October 2018.
This sample document is merely an example for general reference and educational purposes. RIA Compliance Consultants, Inc. is providing this sample document to the purchaser on an “as is” basis with no warranty or guaranty whatsoever.
This sample document should be considered a starting point, and purchaser should not treat this sample document as a final document ready for use. The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser.
This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.
This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.
Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser. Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.
Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser or review any applicable rules before using this document.
This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely purchasing or utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment adviser laws and rules.
Purchaser is not authorized to re-sell this sample document nor license the use of this sample document to a third-party.
Before this product can be purchased, the purchaser will be directed to electronically sign a terms and use agreement. After signing that agreement, the purchaser will be redirected to the purchaser’s shopping cart to complete the purchase transaction.
If this product involves the purchase of a sample document on a la cart basis (not part of an annual compliance program subscription), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.
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