Fintech Toolkit · Securities & RIA Dashboard

Securities & Investment Adviser Compliance Toolkit

A 13-module operator dashboard for fintech securities and investment-adviser programmes. Activity-classification framework, broker-dealer (FINRA) overlay, investment-adviser (SEC / state) overlay, registration, supervision, advertising / marketing rule, custody, books-and-records, suitability / Reg BI / fiduciary duty, examination readiness, committee charter. Single HTML. Runs offline. Owned forever.

"Whether you're a broker-dealer, a registered investment adviser, both, or neither isn't a marketing decision — it's a regulatory classification driven by what activities you perform. Get the classification right before you launch the product."

What's inside

Activity Classification

Live JS · BD vs RIA vs both vs unregistered

Programme Framework

CCO chief / Series 24 chief · 3 lines · governance

BD Registration (FINRA)

New Member Application (NMA) · Continuing Membership (CMA)

RIA Registration

SEC ($110M+ AUM) vs state · Form ADV · Form CRS

Supervision

Reg-BI / FINRA 3110 · written supervisory procedures (WSPs)

Advertising / Marketing

FINRA 2210 · SEC marketing rule (Rule 206(4)-1)

Suitability / Reg BI / Fiduciary

Reg BI for BD · fiduciary for RIA · disclosures · COI

Custody

SEC custody rule · qualified custodian · audited financials

Books-and-Records

17a-3 / 17a-4 · 204-2 · WORM · 6-year retention

Trade Surveillance

Best-execution · 5310 · concentration · personal trading

Personal Trading

Code of ethics · holdings reports · pre-clearance

Examination Readiness

FINRA examiner · SEC OCIE · state · interview prep

Committee Charter

CCO chair · CCO Series 24 (BD) · cadence · authority

Built for

Compliance leads at fintechs running broker-dealer or investment-adviser activities
CCOs at robo-advisers, fractional-share fintechs, embedded-investing platforms
FINRA Series 24 / Series 26 chief compliance officers
RIA founders building the compliance programme from scratch
External counsel and securities-compliance consultants

Format + licence

Single HTML file. Runs offline. Editable. Print-friendly.
1 working JS calculator (activity-classification: BD / RIA / both / unregistered).
Single-organisation licence. Methodology output yours to keep.
14-day satisfaction guarantee.

Owned forever · paid once

$497 USD

Buy now · $497

Stripe checkout. Single HTML file emailed within 1 business hour.

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