Read this comprehensive step-by-step guide to State and SEC registration of your RIA. Learn what to expect from XYPN Compliance—a leader in RIA registrations and compliance consulting—so you can navigate initial registration with confidence. In this guide, you'll learn:
How to prepare for registering in your state or with the SEC
How to prepare an ADV - and what to look out for in the submission process
Drafting and submitting the perfect form U4
What to expect in the registration approval process
Registering your RIA can be a sea of compliance questions. Luckily, we've heard them all and we're passing that knowledge on to you. Our team of former state regulators and compliance experts wrote this guide to get you started in the right direction. Download this guide and prepare for registering your RIA today!
