SEC, ERA & State Registration Services

Whether you are an investment adviser registering with the SEC, a particular state, or filing as an exempt reporting adviser, Coast to Coast Compliance can coordinate the necessary regulatory requirements.  Coast to Coast Compliance can streamline the registration process and provide the customized policies and procedures needed for an effective compliance program.  This often includes the following key service offerings:  

  • Form ADV Part 1, 2A, and 3 Filings
  • Form ADV Part 2B Development
  • Customized Compliance Manual (and relevant policies/procedures as required by Rule 206(4)-7 of the Advisers Act), including but not limited to:
  1. SEC Registration and Regulatory Disclosures
  2. Advertising and Marketing Material
  3. Suitability and Solicitation of Investors
  4. Portfolio Management Processes
  5. Books and Records Requirements
  6. Conflicts of Interest; Rules of Conduct
  7. Privacy Regulations; Privacy Notice
  8. Business Continuity Plan/ Disaster Recovery Policy
  9. Cybersecurity Policy/ Information Security Policy
  10. Annual Compliance Review 
  • Customized Code of Ethics (as required by Rule 204A-1 of the Advisers Act)
  • Create CCO Checklist/Compliance Calendar
  • Compliance Training
Coast to Coast Compliance can help your firm get registered with the SEC and provide the framework for maintaining a strong compliance program and a strong culture of compliance. 
If you have any questions about Coast to Coast Compliance or would like to know more about how we can help your firm, please reach out to us.
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