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*RIA Compliance Consultants, Inc. (“RCC”) is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

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  • About Us
    ▼
    • Our Staff
    • Contact Us
    • Jobs
  • Our Services
    ▼
    • Annual Compliance Programs
    • Annual Review/Mock Regulatory Review
    • Conference – RIA Compliance Connection 2023
    • 2023 Form ADV Annual Amendment
    • Form ADV Part 3 Drafting & Filing Services
    • IAR CE
    • Turn-Key Investment Advisor Registration Service
    • WSP/CoE
  • Our Products
    ▼
    • RIA Express – Compliance Manual Drafter
    • Written Supervisory Procedures
    • Sample Compliance Forms
    • Upcoming Webinars
    • Recorded Webinars
    • Training Materials
    • New and Updated
  • FAQs
    ▼
    • SEC Marketing Rule
    • Form ADV Part 3
    • Compliance Tips for COVID-19 – Compliance Training Video
    • IAR Continuing Education
    • Delivery of Form ADV Part 2A
    • Investment Adviser Registration FAQs
    • Registering as a State Investment Advisor
    • Series 65 Examination
    • Form U4/U5
    • Form ADV Background Information
    • RIA Registration Cost
    • Form ADV Drafting Tips
    • SEC Examination Tips
    • IARD Renewals
    • Form PF
    • Private Fund Advisers Registering as IAs w/SEC
    • Written Supervisory & Compliance Policies & Procedures
    • Solicitor Referral Arrangements
    • Code of Ethics
    • Form 13F, Form SH, Schedule 13D & Schedule 13G
  • Resources
    ▼
    • Blog
    • Strategic Alliance Members
    • Strategic Provider Members
    • SEC Resources
    • State Resources
    • Disclosures
  • Your Account
    ▼
    • Login
    • KnowledgeBase & RIA Express – Compliance Review Tool
    • IAR CE – CE4Advisers.com
  • Newsletter Signup
  •