| 13F - Checklist for Filing via Securex | $50.00 | |
| 2021 RIA Compliance Connection - ACPP Clients | $195.00 | |
| 2021 SEC Exam Priorities | $69.95 | |
| 2022 Exam Priorities | $69.95 | |
| 2023 Investment Adviser Exam Priorities | $69.95 | |
| 2023 Year-End Review of Investment Adviser Compliance Trends & Best Practices | $0.00 | |
| ADV-W - Client Letter - Notification of Firm's ADV-W | $200.00 | |
| ADV-W – Full Withdrawal of Investment Adviser Registration - Checklist | $150.00 | |
| Advertising - Accessibility - Best Practices Checklist | $0.00 | |
| Advertising - Book Disclosures | $200.00 | |
| Advertising - Business Card Checklist & Footers for Emails and Letterhead/Stationery | $175.00 | |
| Advertising - Case Studies - Guiding Principles | $225.00 | |
| Advertising - Checklist for Common Compliance Issues with Non-Performance Advertising | $75.00 | |
| Advertising - Compliance Review Spreadsheet | $35.00 | |
| Advertising - D/B/A Name Guidance | $150.00 | |
| Advertising - Endorser (Affiliated) - Disclosure Statement | $200.00 | |
| Advertising - Endorser (Unaffiliated) - Disclosure Statement | $200.00 | |
| Advertising - Professional Designation Reporting Form | $150.00 | |
| Advertising - Radio, Podcast & Broadcast Over Social Media – Best Practices | $150.00 | |
| Advertising - Report Showing Past Performance of Recommended Funds - Disclosure | $125.00 | |
| Advertising - Review Form | $35.00 | |
| Advertising - Seminar Presentation Disclosures | $250.00 | |
| Advertising - Social Media Review-Approval Form | $75.00 | |
| Advertising - Social Media/Email - Dirty Word List for Surveillance | $150.00 | |
| Advertising - Social Medial Post Disclosure | $50.00 | |
| Advertising - Testimonial/Endorsement (No Compensation) Authorization | $200.00 | |
| Advertising - Video - Sample Disclosure | $200.00 | |
| Advertising – Assignment/Buy-Sell/Succession | $125.00 | |
| Annual Compliance Training – Case Studies – Conflicts of Interest, Social Media, Alternative Investments | $250.00 | |
| Annual Financial Report - Cover Letter for California | $85.00 | |
| Annual Review - Certification of Annual Retrospective Review of IRA Rollover | $195.00 | |
| Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log | $225.00 | |
| Annual Subscription to Live & Recorded Webinars | $545.00 / year | |
| Assignment - Name Change Only - Letter to Client | $30.00 | |
| Assignment/Change of Ownership - Client Letter - Confirmation of New Owner After 60 Day Notice with 45 Day Rescission - No Response | $200.00 | |
| Bank - Advertising and Communication Checklist | $150.00 | |
| Bank - Client Acknowledgement - RIA Not Bank & Investments Not Insured | $200.00 | |
| Bank - Referral Arrangement Disclosure Statement to Client | $250.00 | |
| Best Execution - Broker-Dealer Evaluation | $75.00 | |
| Books & Records - Checks Received & Forwarded Log | $35.00 | |
| Books & Records - Client File Review Form | $35.00 | |
| Books & Records - Client Meeting Notes & Checklist | $125.00 | |
| Books & Records - Document Retention Spreadsheet | $50.00 | |
| Books & Records - Documentation Log and Suggested List of Compliance Files and Reports | $75.00 | |
| Books & Records – Trade Blotter for Investment Adviser | $35.00 | |
| Branch Office - Appointment of Branch Supervisor | $200.00 | |
| Branch Office - Checklist for Office Sharing with Unaffiliated, 3rd Party | $225.00 | |
| Branch Office – Adding New Office Location Checklist | $200.00 | |
| Branch Office Review - IA Checklist | $300.00 | |
| Bronze Package - Annual Compliance Program - 3 Months' Payments - Riddick & Co | $720.00 | |
| Bronze+ Package - Annual Compliance Program - 12 Monthly Installment Payments | $295.00 / month | |
| CCO - Annual Compliance Calendar Checklist | $150.00 | |
| CCO - Common Duties for CCO for New RIA Firm - Compliance Calendar & Suggested Files | $150.00 | |
| CCO - Determining Who to Designate as CCO of RIA | $125.00 | |
| CCO - Third-Party - Confirming Annual Review Completion | $50.00 | |
| CCO Basic Training | $69.95 | |
| Checks Received and Forwarded Log | $25.00 | |
| Client as Investor/Owner in RIA – Checklist of Compliance Issues | $200.00 | |
| Client Authorization to Release Copy of Client Records to Departing Rep | $150.00 | |
| Client Complaint - Acknowledgement of Receipt | $85.00 | |
| Client Complaint - File Checklist | $150.00 | |
| Client Complaint - Letter to Rep Requesting Explanation | $200.00 | |
| Client Complaint - Log | $50.00 | |
| Client Complaint - Summary | $100.00 | |
| Client Letter - ADV-W - Notification of Firm's ADV-W | $200.00 | |
| Client Letter - Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response | $200.00 | |
| Client Letter - Assignment/Change of Ownership - Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response | $200.00 | |
| Client Letter - Assignment/Change of Ownership - Change of Controlling Ownership - Client Written Response Required | $200.00 | |
| Client Letter - Assignment/Change of Ownership - Confirmation of Assignment of Advisory Agreement after Initial 60 Day Notice | $100.00 | |
| Client Letter - Assignment/Change of Ownership - Confirmation of New Owner After 60 Day Notice | $200.00 | |
| Client Letter - Assignment/Change of Ownership - Death of Former Owner - New Owner - No Response Consent | $200.00 | |
| Client Letter - Assignment/Change of Ownership - Internal Sale - 60 Day Notice - No Response Consent | $200.00 | |
| Client Letter - Assignment/Change of Ownership - Rep Starting New Firm, Dual IAR Registration During Transition, 60 Days’ Notice and Authorization to Release Client Information | $250.00 | |
| Client Letter - Confirming Rep Termination & Release of Information to New Firm | $200.00 | |
| Client Term - Client Letter - Notifying Termination of Services & Waiver of Notice Period | $200.00 | |
| Client Term - Death - Best Practices Checklist | $100.00 | |
| Client Term - Lost Client Form | $35.00 | |
| Client Term - Lost Client Form Log | $25.00 | |
| Code of Ethics - Acknowledgment Form | $75.00 | |
| Code of Ethics - Client Request/Delivery Log | $35.00 | |
| Code of Ethics - Compliance Violations Reporting Form | $150.00 | |
| Code of Ethics/Compliance Manual - Acknowledgement Form | $150.00 | |
| Communication - Electronic Delivery - Client Authorization | $200.00 | |
| Communication - Text Messaging of Clients Permitted - Rep Acknowledgement & Authorization | $250.00 | |
| Communications – Social Media & Electronic Messaging Annual Questionnaire | $150.00 | |
| Compliance Concerns with Private Funds | $69.95 | |
| Compliance Risks of Using Wrap-Fee Program | $69.95 | |
| Compliance Roundtable with RCC Consultants - A 2021 Year End Review | $69.95 | |
| Compliance Training - Interactive Compliance Training Tool – COMPLETE with Questions | $250.00 | |
| Compliance Training - Interactive Compliance Training Tool – TEMPLATE | $125.00 | |
| Compliance Training/Meeting Attendance Sign-in Form | $35.00 | |
| Conducting an Annual Retrospective Review of IRA Rollovers for DoL's PTE 2020-02 | $69.95 | |
| Conflicts of Interest - Cash Sweep Program Checklist | $250.00 | |
| Conflicts of Interest - Checklist | $175.00 | |
| Conflicts of Interest - Financial Planning - Recommending Products with Varying Commissions | $250.00 | |
| Conflicts of Interest - FP - Varying Compensation for Insurance/Securities - Client Acknowledgement | $225.00 | |
| Conflicts of Interest - Log | $25.00 | |
| Conflicts of Interest – Fixed Indexed Annuities – Best Practices | $100.00 | |
| Current Trends in Regulatory Exams of Investment Advisers | $69.95 | |
| Custody - Best Practices for Supervising Bill Pay Services | $275.00 | |
| Custody – Credit Card/ACH Payments – Best Practices for Avoiding Custody | $175.00 | |
| Custody – SLOA for First-Party Transfers – Spreadsheet for Documenting Requirements | $50.00 | |
| Custody – SLOA Transfer to 3rd Party – Spreadsheet Documenting Requirements | $85.00 | |
| Custody – Spreadsheet for Reviewing Qualified Custodian’s Account Documentation for Inadvertent Custody | $95.00 | |
| Customized, Regulator Specific Manual (SEC Registered Investment Advisor) | $1,295.00 | |
| Cybersecurity - 12 Steps for an RIA to Improve Security of Client Information | $100.00 | |
| Cybersecurity - Best Practices Checklist | $250.00 | |
| Cybersecurity - Employee Acknowledgement | $50.00 | |
| Cybersecurity - GDPR Best Practices Checklist for Website | $150.00 | |
| Cybersecurity - Phishing Email - Letter Notifying Client | $175.00 | |
| Cybersecurity - Website Security Checklist for an Investment Adviser | $25.00 | |
| Cybersecurity – Best Practices for Avoiding and Responding to Phishing Attacks | $175.00 | |
| Cybersecurity – Best Practices for RIA Collecting Devices for Digital Forensic Expert | $35.00 | |
| Cybersecurity – Cleaning Company Acknowledgement – Background Checks | $200.00 | |
| Cybersecurity – Conducting Due Diligence of Cloud Computing Service Providers | $200.00 | |
| Cybersecurity – Training to Avoid Phishing | $175.00 | |
| Dissecting the SEC's Enforcement Action Against an Investment Adviser Recommending Fixed Indexed Annuities | $69.95 | |
| Due Diligence - Alternative Investment - Review Form | $200.00 | |
| Due Diligence - Client Acknowledgement - No Due Diligence of Service Provider Selected by Client | $250.00 | |
| Due Diligence - Document Request List When IAR Affiliating with Broker-Dealer | $200.00 | |
| Due Diligence - Ongoing Questionnaire for Signal/Model Provider's Compliance Program | $250.00 | |
| Due Diligence - Ongoing Questionnaire for Sub-Adviser's Compliance Program | $250.00 | |
| Due Diligence - Reimbursement of 3rd Party Professional Services - Client Acknowledgement | $250.00 | |
| Due Diligence - Vendor Due Diligence Checklist | $200.00 | |
| Due Diligence (Ongoing) Questionnaire for Third-Party Money Manager Compliance Program | $250.00 | |
| Duty of Care When Providing Investment Advice | $0.00 | |
| ESG Investing - Best Compliance Practices Checklist | $175.00 | |
| ESG Investing - Client Consent of Adviser's Use of ESG Objectives | $35.00 | |
| ESG Investing - SEC Exam Request List | $100.00 | |
| Fee - Audit Review Form | $75.00 | |
| Fee - Audit Spreadsheet - Internally Calculated Asset-Based Investment Adviser Fees | $125.00 | |
| Fee - Client Letter - New Procedure – 12 Month Look for Back for Valuing Private Investment Funds | $250.00 | |
| Financial Planning - Pre-Engagement Disclosure for Use of eMoney During Introductory Phase | $200.00 | |
| Foreign Investment Adviser – Undertaking to Provide Books & Records to SEC | $75.00 | |
| Form ADV - Annual Offer Letter | $150.00 | |
| Form ADV - Language - COVID-19 Risks | $35.00 | |
| Form ADV - Language - IAR PPP Loan Disclosure | $100.00 | |
| Form ADV - Part 3 - Conversation Starters Script | $250.00 | |
| Form ADV - Part 3 - Cover Letters for Relationship Summary | $175.00 | |
| Form ADV - Part 3 - Relationship Summary Delivery Log | $25.00 | |
| Form ADV - Request/Receipt Log | $25.00 | |
| Form ADV - Revisions Log | $25.00 | |
| Form ADV – Language – Item 18.B – PPP Loan | $150.00 | |
| Form ADV – Sample Language – Rollover Recommendation | $150.00 | |
| Form ADV – Worksheet for Calculating Regulatory Assets Under Management | $225.00 | |
| Form ADV Part 3 - Compliance Review Module | $295.00 | |
| Form ADV Part 3 - Training Tool | $250.00 | |
| Form ADV Part 3 Guidance | $69.95 | |
| Gifts and Entertainment - Log | $25.00 | |
| Gifts and Entertainment - Reporting Form | $150.00 | |
| Gold Package (10 Hours) - 12 Monthly Installment Payments | $630.00 | |
| Gold Package (10 Hours) - Annual Compliance Program - 12 Monthly Installment Payments | $630.00 | |
| Gold Package (10 Hours) - Annual Compliance Program - Annual Payments (Engagement Separate) | $7,560.00 / year | |
| Gold Package (Renewal) - Annual Compliance Program - Annual Payments | $6,300.00 / year | |
| Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments | $675.00 / month | |
| Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately) | $675.00 / month | |
| Heightened Supervision Plan - Best Practices Checklist | $150.00 | |
| Heightened Supervision Plan - Credit | $225.00 | |
| How to Become a Registered Investment Adviser | $0.00 | |
| How to Develop Compliance Training & Complying with the New IAR CE Rule | $69.95 | |
| IAR CE – Tracking Spreadsheets | $100.00 | |
| Insider Trading – Annual Questionnaire of Firm’s Supervised Person’s Affiliation with Public Company | $150.00 | |
| Insider Trading – Identifying and Mitigating Risk Checklist | $225.00 | |
| Interactive Compliance Training Tool – COMPLETE with Questions | $250.00 | |
| Interactive Compliance Training Tool – TEMPLATE | $125.00 | |
| Investment Adviser Exam Deficiencies in 2023 & Exam Priorities for 2024 | $69.95 | |
| Invoice - Asset Management Services (Asset Based Fee) | $125.00 | |
| Invoice - Hourly | $125.00 | |
| Invoice - Retainer Request | $85.00 | |
| IRA Rollover Compliance Under PTE 2020-02 | $69.95 | |
| IRA Rollovers Under U.S. Department of Labor's PTE 2020-02 | $69.95 | |
| Licensing - Dual IAR Registration - Letter to Licensing Dept of State Regulator | $150.00 | |
| Licensing - IAR Transition by Dually Licensing with Two Unaffiliated Firms | $200.00 | |
| Licensing IARs under New York’s New Requirements | $69.95 | |
| Mastering Annual Compliance Reviews for Investment Adviser Firms | $0.00 | |
| Mock Exam Document Request List | $200.00 | |
| Navigating Unethical Acts and Code of Ethics Obligations of Investment Adviser Representatives | $0.00 | |
| Non-Licensed Meeting Attendee - Acknowledgement | $150.00 | |
| Non-Licensed Owner - Acknowledgement by Owner | $225.00 | |
| Non-Licensed Owner - Checklist of Compliance Issues | $225.00 | |
| Non-Licensed Owner - Client Acknowledgement | $200.00 | |
| OBA - Reporting Form | $225.00 | |
| Order Memorandum/Trade Ticket | $25.00 | |
| Outside Business Activity - Client Acknowledgement - General | $250.00 | |
| Outside Business Activity - Client Acknowledgement that Fixed Indexed Annuity Recommendation Is an Outside Activity | $250.00 | |
| Outside Business Activity - Client Acknowledgement that Rep’s Trustee Services Are Outside of Investment Adviser Firm | $250.00 | |
| Outside Business Activity - Investigation Checklist | $200.00 | |
| Outside Business Activity - Recommending FIA in lieu of SMA in Retirement Account - Client Acknowledgement | $250.00 | |
| Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA | $250.00 | |
| Personal Securities Transaction - Checklist for Personal Account Not Controlled by Access Person | $175.00 | |
| Personal Securities Transactions - Annual/Initial Personal Securities Holding Report | $75.00 | |
| Personal Securities Transactions - Brokerage Account Disclosure Form | $75.00 | |
| Personal Securities Transactions - Checklist for Reviewing PSTs & Holdings | $175.00 | |
| Personal Securities Transactions - Letter to Request Duplicate Confirmations & Statements | $75.00 | |
| Personal Securities Transactions - Personal Securities Trading Request Form | $75.00 | |
| Personal Securities Transactions - Pre-Clearance Form | $75.00 | |
| Personal Securities Transactions - Quarterly Personal Securities Transaction Report | $75.00 | |
| Personal Securities Transactions - Supervising for Insider Trading Checklist | $225.00 | |
| Personal Securities Transactions Form – Non-Access Person Acknowledgment | $200.00 | |
| Platinum+ Package – Annual Compliance Program – 12 Monthly Installment Payments | $1,125.00 / month | |
| Platinum+ Package – Annual Compliance Program – 12 Monthly Installment Payments - Engagement Executed Separately | $1,125.00 / month | |
| Political Contributions - Log | $25.00 | |
| Political Contributions - Reporting Form | $150.00 | |
| Preparing for Compliance with SEC's New Marketing Rule | $69.95 | |
| Preparing for the SEC's New Private Fund Adviser Regulations | $69.95 | |
| Privacy - Client Authorization for 3rd Party to Release Confidential Info. to Investment Advisor | $50.00 | |
| Privacy - Client Authorization to Release Copy of Client Records to Departing Representative | $200.00 | |
| Privacy - Client Consent to Share NPPI with Non-Affiliates | $150.00 | |
| Privacy - Client Privacy Policy Notice (Sample) | $150.00 | |
| Privacy - Client Privacy Policy Notice Request/Receipt Log | $25.00 | |
| Privacy - Confirmation that Client Provided Rep with Info to Establish New Account | $175.00 | |
| Privacy - Permission to Disclose Personal Info on Behalf of Client | $150.00 | |
| Privacy - Privacy Notice to Share NPPI with Non-Affiliates | $150.00 | |
| Private Equity - Compliance Checklist for Investment Adviser When Recommending PE Investment | $200.00 | |
| Private Equity Risk Disclosure | $295.00 | |
| Private Fund - Common Issues for Adviser to Private Fund | $200.00 | |
| Questionnaire/Checklist - SEC Exam Priorities 2018 | $150.00 | |
| Recorded Webinar - Learning from Other's Mistakes | $69.95 | |
| Recorded Webinar : Addressing Outside Business Activities & Conflicts of Interest | $69.95 | |
| Recorded Webinar : Annual Compliance Review Recordkeeping and RIA Express – Compliance Review Demonstration | $69.95 | |
| Recorded Webinar : Applicability Dates of Best Interest Contract Exemption under DoL's Fiduciary Rule | $69.95 | |
| Recorded Webinar : Approving Marketing Materials | $69.95 | |
| Recorded Webinar : Assessing Your Investment Adviser’s Compliance Culture | $69.95 | |
| Recorded Webinar : Basic Training for a CCO | $69.95 | |
| Recorded Webinar : Beyond Privacy Notice – Safeguarding Client Data | $69.95 | |
| Recorded Webinar : Building a Strong Compliance Culture for Your Investment Adviser | $69.95 | |
| Recorded Webinar : Common Investment Adviser Books and Records Deficiencies | $69.95 | |
| Recorded Webinar : Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients | $69.95 | |
| Recorded Webinar : Compliance for Independent Registered Investment Advisers with Representatives also Registered with a Broker-Dealer | $69.95 | |
| Recorded Webinar : Compliance for Social Media | $69.95 | |
| Recorded Webinar : Compliance Requirements for Investment Adviser Advertising | $69.95 | |
| Recorded Webinar : Compliance Requirements for Investment Adviser Advertising and Marketing | $69.95 | |
| Recorded Webinar : Compliance Talk with RCC Consultants – A Year End Review | $69.95 | |
| Recorded Webinar : Compliance Talk with RCC Consultants – RIA Fee Billing Practices | $69.95 | |
| Recorded Webinar : Compliance Update on Investment Advisers' Use of Social Media | $69.95 | |
| Recorded Webinar : Conducting a Risk Assessment/Risk Inventory | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 1 | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 10 – Fees & Business Continuity Plans & Information Security | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 11 – Trading Records, Portfolio Management Records, Financial Planning | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 12 – Complaints, Regulatory Exams, Regulatory Investigations, Whistleblowers | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 13 – Client Documents, Proxy Voting, Foreign Clients, ERISA | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 2 – Registration | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 3 – Code of Ethics | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 4 – Supervision, Branch Offices, Outside Business Activities | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 5 –Advertising and Social Media | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 6 – Utilizing Solicitors, Serving as a Solicitor, and Service Providers | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 7 – Electronic Communications, Electronic Storage, Privacy Records | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 8 – Organizational and Operational Records | $69.95 | |
| Recorded Webinar : Conducting an Annual Compliance Review – Session 9 – Fees & Custody, Form 13F Filings, Private Funds | $69.95 | |
| Recorded Webinar : Conducting and Documenting an Annual Review of RIA Policies and Procedures | $69.95 | |
| Recorded Webinar : Creating an Independent Contractor, Investment Adviser Representative Agreement | $69.95 | |
| Recorded Webinar : Custody Implications for Investment Advisers | $69.95 | |
| Recorded Webinar : Custody Rule Implications for Investment Advisors: First-Party v. Third-Party Transfers | $69.95 | |
| Recorded Webinar : Cybersecurity for Investment Advisers | $69.95 | |
| Recorded Webinar : Cybersecurity: Could Your Investment Adviser Pass Regulatory Scrutiny? | $69.95 | |
| Recorded Webinar : Developing and Implementing an Effective Customized Compliance Program | $69.95 | |
| Recorded Webinar : Developing and Maintaining Customized Written Compliance Policies and Procedures | $69.95 | |
| Recorded Webinar : DoL New Conflicts of Interest Rule-Implications for RIA Only Firms | $69.95 | |
| Recorded Webinar : Establishing and Supervising Solicitor Arrangements | $69.95 | |
| Recorded Webinar : Establishing Information Security Programs for Registered Investment Advisers | $69.95 | |
| Recorded Webinar : Exploring the SEC's New Custody Rule | $69.95 | |
| Recorded Webinar : Form ADV Amendments - Once a Year Might not be Enough | $69.95 | |
| Recorded Webinar : Getting Your Compliance Calendar Ready for 2012 | $69.95 | |
| Recorded Webinar : Getting Your Compliance Calendar Ready for 2013 | $69.95 | |
| Recorded Webinar : Highlights from the April 2018 SEC Compliance Outreach Program National Seminar | $69.95 | |
| Recorded Webinar : Highlights from the June 2017 SEC Compliance Outreach Program Regional Seminar | $69.95 | |
| Recorded Webinar : How an Investment Adviser Can Create & Maintain a Strong Culture of Compliance | $69.95 | |
| Recorded Webinar : How the SEC’s Recent Approval of Form CRS/Form ADV Part 3 Affects Investment Advisers | $69.95 | |
| Recorded Webinar : Identifying, Disclosing, and Mitigating Conflicts of Interest | $69.95 | |
| Recorded Webinar : Identity Theft & Third Party Wire & Check Fraud | $69.95 | |
| Recorded Webinar : Impact of New Custody Rule on an RIA Operating a B-D, Qualified Custodian or Private Fund | $69.95 | |
| Recorded Webinar : Insight into SEC Exam Priorities for 2015 | $69.95 | |
| Recorded Webinar : Investment Adviser Books and Records Requirements | $69.95 | |
| Recorded Webinar : Investment Adviser Branch Office Supervision & Supervision of Representatives with Past Disciplinary Histories | $69.95 | |
| Recorded Webinar : Investment Adviser Code of Ethics Requirements | $69.95 | |
| Recorded Webinar : Investment Adviser Compliance for RIAs with Representatives Dually Licensed with a Broker-Dealer | $69.95 | |
| Recorded Webinar : Investment Adviser Custody Requirements – Could Your Firm Have Custody and Not Know It? | $69.95 | |
| Recorded Webinar : Investment Adviser Fiduciary Duty | $69.95 | |
| Recorded Webinar : Investment Adviser Service Provider Due Diligence Reviews | $69.95 | |
| Recorded Webinar : Investment Advisory Fees & Other Expenses | $69.95 | |
| Recorded Webinar : Maintaining Investment Advisor Books & Records | $69.95 | |
| Recorded Webinar : Maintaining Required Books and Records | $69.95 | |
| Recorded Webinar : Making Compliance Resolutions for 2011 | $69.95 | |
| Recorded Webinar : My New ADV Part 2 Is Filed - Now What? | $69.95 | |
| Recorded Webinar : New 408(b)(2) Disclosure Requirements Affect Investment Advisers to ERISA Plan Accounts | $69.95 | |
| Recorded Webinar : Performance Advertising for Investment Advisers | $69.95 | |
| Recorded Webinar : Planning Your Investment Adviser Compliance Program for 2018 | $69.95 | |
| Recorded Webinar : Post DoL Rule - RIA Requirements for Addressing Conflicts of Interest | $69.95 | |
| Recorded Webinar : Preparing for a Regulatory Exam | $69.95 | |
| Recorded Webinar : Preparing for an SEC Exam | $69.95 | |
| Recorded Webinar : Preparing Form ADV Annual Amendments | $69.95 | |
| Recorded Webinar : Preparing Your Compliance Calendar for 2014 | $69.95 | |
| Recorded Webinar : Preparing Your Compliance Calendar for 2015 | $69.95 | |
| Recorded Webinar : Preparing Your Compliance Calendar for 2017 | $69.95 | |
| Recorded Webinar : Preparing Your Form ADV Annual Amendment | $69.95 | |
| Recorded Webinar : Preparing Your Form ADV Annual Amendment 2017 | $69.95 | |
| Recorded Webinar : Professional Ethics for Investment Adviser Representatives | $69.95 | |
| Recorded Webinar : Professional Ethics for Investment Adviser Reps | $69.95 | |
| Recorded Webinar : SEC 2019 Exam Priorities for RIAs & Tips for Making Sure You’re Prepared | $69.95 | |
| Recorded Webinar : SEC Exam Priorities & Common Exam Deficiencies | $69.95 | |
| Recorded Webinar : SEC Exam Priorities & Exam Readiness 2018 | $69.95 | |
| Recorded Webinar : SEC Requirements for Performance Advertising | $69.95 | |
| Recorded Webinar : SEC's 2020 Exam Priorities for Investment Advisers | $69.95 | |
| Recorded Webinar : Social Media and Email Compliance for Investment Advisers | $69.95 | |
| Recorded Webinar : Solutions and Answers to Form U4 and Form U5 Challenges | $69.95 | |
| Recorded Webinar : Strategies for Registered Investment Advisers to Comply with the DoL New Conflicts of Interest Rule | $195.00 | |
| Recorded Webinar : Succession Planning for Investment Advisers - Why? & How? | $69.95 | |
| Recorded Webinar : Tips for Preparing Your Form ADV Annual Amendments | $69.95 | |
| Recorded Webinar : Understanding and Preparing for the 'Switch' for Mid-Sized Advisors | $0.00 | |
| Recorded Webinar : Understanding the New ADV Part 2 | $0.00 | |
| Recorded Webinar : Understanding the New Identity Theft Red Flags Rules and How SEC Registered | $69.95 | |
| Recorded Webinar : Understanding the Role of the Chief Compliance Officer | $69.95 | |
| Recorded Webinar : Updating Written Compliance Policies and Procedures | $69.95 | |
| Recorded Webinar : What We Learned from Investment Adviser Regulatory Compliance Exams in 2017 | $69.95 | |
| Recorded Webinar : Why Investment Advisers Should Carry E&O and Cybersecurity Insurance (August 2019) | $69.95 | |
| Recorded Webinar: 2020 SEC Exam Priorities for Investment Advisers | $69.95 | |
| Recorded Webinar: Billing Best Practices with Bridge Financial Technology | $69.95 | |
| Recorded Webinar: Bringing On Investment Adviser Reps | $69.95 | |
| Recorded Webinar: Common Questions for RCC Consultants | $69.95 | |
| Recorded Webinar: Compliance Talk with RCC Consultants – A 2019 Year End Review | $69.95 | |
| Recorded Webinar: Compliance with Form ADV Part 3 Requirements | $69.95 | |
| Recorded Webinar: How to Report Elder Abuse to Adult Protective Services | $0.00 | |
| Regulator Specific Customized Manual (State Registered Investment Advisor) | $1,295.00 | |
| Regulatory Inquiry/Investigation - Checklist | $175.00 | |
| Rep - IAR Annual Questionnaire | $200.00 | |
| Rep - Prospective Rep Checklist - Compliance Issues | $200.00 | |
| Rep - Recruiting - Best Practices Checklist | $150.00 | |
| Rep - Recruiting - Letter of Intent Re Affiliation | $200.00 | |
| Rep - Recruiting - New Firm Recommending Prospect Retain Attorney Before Affiliating | $100.00 | |
| Rep - Supervision - Letter of Caution | $85.00 | |
| Rep – Diminished Capacity of IAR | $175.00 | |
| Rep Term - Checklist | $200.00 | |
| Rep Term - Client Letter - Existing Rep Termination & New Successor Rep | $200.00 | |
| Rep Term - Client Letter - Rep Starting New Firm, Temporary Dual Registration, No-Response Notice | $200.00 | |
| Rep Term - Rep Letter - Notification of Termination | $200.00 | |
| Rep Term - Setting Up New RIA Before Termination | $300.00 | |
| Retirement Plan Participant's User ID & Password - Internal Checklist for Custody | $200.00 | |
| Reviewing & Updating Form U4 & Form ADV Part 2B | $69.95 | |
| Reviewing and Updating Investment Adviser Client Agreements | $69.95 | |
| RIA Website Accessibility Webinar | $0.00 | |
| Riding the Regulatory Wave: Navigating the Potential 2024 Surge for SEC Registered Investment Advisers | $69.95 | |
| Sample Form - Branch Office Review – IA Checklist Form | $300.00 | |
| Sample Form - Chief Compliance Officer Acknowledgement Form | $75.00 | |
| Sample Form - Client Authorization for Electronic Delivery of Documents | $150.00 | |
| Sample Form - Compliance Issues Log | $25.00 | |
| Sample Form - Compliance Training/Meeting Attendance Sign-in Form | $25.00 | |
| Sample Form - Conflicts of Interest Log | $25.00 | |
| Sample Form - Customer Complaint Log | $50.00 | |
| Sample Form - Sample Margin Disclosure Form | $150.00 | |
| Sample Form - Solicitor Annual Questionnaire - Affiliated and Licensed | $200.00 | |
| Sample Form - Solicitor Annual Questionnaire - Affiliated and Unlicensed | $200.00 | |
| Sample Form - Solicitor Annual Questionnaire - Unaffiliated and Unlicensed | $200.00 | |
| Sample Form - Supervision Assignment Chart | $150.00 | |
| Sample WSP/CoE - Social Objectives Investing - ESG & Biblically Responsible | $250.00 | |
| Sample WSP/CoE Section - Form ADV Part 3 | $250.00 | |
| SEC Exam - Best Practices Checklist | $200.00 | |
| SEC Exam - Privilege Log | $50.00 | |
| SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response | $25.00 | |
| SEC Exam – Log of Requested Docs & Info | $35.00 | |
| SEC Exam – Mock Exam Document Request List | $200.00 | |
| SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator | $25.00 | |
| SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA | $250.00 | |
| SEC's New Marketing Rule - Session 1 - Advertising | $69.95 | |
| SEC's New Marketing Rule - Session 2 - Solicitations | $69.95 | |
| SEC's New Marketing Rule - Session 3 - Updating Solicitor Arrangements under SEC’s New Marketing Rule | $69.95 | |
| SEC's New Marketing Rule - Session 4 - RIA Client Testimonials under SEC’s New Marketing Rule | $69.95 | |
| Self-Customized, Regulator Specific Compliance Manual (SEC Registered Investment Advisor) via RIA Express | $695.00 | |
| Self-Customized, Regulator Specific Manual (State Registered Investment Advisor) via RIA Express | $695.00 | |
| Self-Customized, Regulator Specific Manual (State Registered Investment Advisor) via RIA Express | $695.00 | |
| Senior/Vulnerable Clients - Internal Reporting Form for Exploitation | $75.00 | |
| Senior/Vulnerable Clients - State Reporting Requirements | $150.00 | |
| Senior/Vulnerable Clients - Training | $125.00 | |
| Senior/Vulnerable Clients - Training Quiz | $45.00 | |
| Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact | $95.00 | |
| Silver Package - Annual Compliance Program - Annual Payments | $3,540.00 / year | |
| Silver Package - Annual Compliance Program - Annual Payments (Renewal) | $3,540.00 / year | |
| Silver+ Package – Annual Compliance Program – 12 Monthly Installment Payments | $335.00 / month | |
| Soft Dollars - Does This Apply to My Investment Adviser | $69.95 | |
| Succession – Due Diligence Checklist for Buying/Selling Rep’s Client List | $250.00 | |
| Suitability - Broker-Dealer (Commission) v. RIA (Fee) Account - Client Acknowledgement | $150.00 | |
| Suitability - Client Letter - Confirming Accounts & Objectives | $175.00 | |
| Suitability - Excessive Withdrawals from a Retirement Account - Client Acknowledgement | $250.00 | |
| Suitability - Leveraged/Inverse ETFs - Client Acknowledgement | $185.00 | |
| Suitability - Rep Did Not Solicit or Recommend Investment - Investor Acknowledgement | $275.00 | |
| Suitability - Retirement Plan Rollover - Client Acknowledgement | $300.00 | |
| Suitability - Risk Tolerance Questionnaire for Clients | $150.00 | |
| Suitability - Wrap vs. Non-Wrap Account - Client Acknowledgement | $250.00 | |
| Suitability – Marijuana-Related Investment – Acknowledgement by Client of Speculative Nature | $200.00 | |
| Suitability – Recommending Proprietary Investment or Fund Checklist | $135.00 | |
| Suitability Tax Efficiency - Client Acknowledgement - Account Not Managed for Taxes | $100.00 | |
| Test Product - One Time | $1.00 | |
| Test Product - Subscription | $1.00 / day | |
| Testimonials & Endorsements under the SEC’s New Marketing Rule | $69.95 | |
| Titanium+ Package – Annual Compliance Program – 12 Monthly Installment Payments | $1,750.00 / month | |
| Trade Error - Documentation Form | $25.00 | |
| Trade Error - Log | $25.00 | |
| Trading - Checklist for Detecting Cherry Picking | $175.00 | |
| Trading - Pontera - Best Practices Checklist | $175.00 | |
| Trading - Pontera - Sample Language for Form ADV Part 2A | $175.00 | |
| Updating Form ADV | $69.95 | |
| Webinar - Custody Rule Implications for Investment Advisers: First-Party v. Third-Party Transfers | $69.95 | |
| Webinar - Preparing Form ADV Annual Amendments (9/7/2017) | $69.95 | |
| Whistleblower - Complaint/Tracking Reporting Form | $25.00 | |
| Whistleblower - Sample Whistleblower Reporting Form | $125.00 | |
| 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 - Cross Trade Procedures | $250.00 | |
| WSP/CoE Section Update - Different Fee Rates for Asset Classes in Retirement Accounts | $250.00 | |
| WSP/CoE Section Update - IAR CE | $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 - IRA Rollover Recommendations | $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 | |
| Year-End Review of Investment Adviser Compliance Trends & Best Practices | $69.95 | |
