Resources

Compliance Advisor Professionals, LLC, is committed to assisting your firm in with all of your investment adviser compliance questions, concerns and requirements.  Listed below are some common links for government and industry resources related to investment adviser regulatory requirements, investment adviser registration and other investment adviser compliance matters. If you know of additional links that you would find useful, we welcome your input. You can contact us at info@complianceadv.com with any suggestions or comments.

Government Resources

• Securities and Exchange Commission (SEC): www.sec.gov
• North American Securities Administrators Association (NASAA): www.nasaa.org
• Financial Industry Regulatory Authority (FINRA): www.finra.org

Industry Resources

• Investment Advisor Magazine: www.investmentadvisor.com
• Registered Rep Magazine: www.registeredrep.com
• Institutional Investor: www.iinews.com
• CPA Wealth Planner: www.webcpa.com
• Investment News: www.investmentnews.com

Business Resources

• Amy King Design – Graphic Designer:  www.KingDesignGraphics.com