Compliance Solutions for Every Firm Type

Whether you are an SEC-registered RIA, FINRA broker-dealer, dual registrant, state-registered advisor, or compliance consultant managing multiple firms, Compliance Approved has a solution built for your regulatory requirements.

For SEC-Registered RIAs

Compliance software designed for investment advisors registered with the Securities and Exchange Commission. Manage marketing review, code of ethics, attestations, and more.

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For Broker-Dealers

Purpose-built for FINRA-regulated broker-dealer firms. Streamline FINRA Rule 2210 advertising review, supervisory procedures, and regulatory filings.

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For Dual Registrants

Unified compliance management for firms registered with both the SEC and FINRA. One platform to manage overlapping regulatory requirements.

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For State-Registered RIAs

Built for the 16,575+ state-registered RIA firms navigating the patchwork of state securities regulations, NASAA model rules, and state examinations.

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For Compliance Consultants

The operating platform for fractional CCOs, independent compliance consultants, and outsourced compliance firms managing programs across multiple client firms.

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