PREMIUM COMPLIANCE PLAN
We provides institutional-grade SEC compliance know-how to independent advisors in growth mode.
FULL-SERVICE COMPLIANCE FOR RIAs & STATE ADVISORS
Compliance Consulting
NextReg will assist you understand and adhere to SEC and state regulations by handling your compliance program..
Initial Registration Assistance
NextReg can help guide new RIA firms through the initial registration process with the SEC and/or state securities authorities.
SEC 206(4)-7 Annual Review
At NextReg, we specialize in comprehensive Rule 206(4)-7 review services designed to help you meet all regulatory requirements and safeguard your business. Our expert consultants will conduct thorough reviews of your compliance policies and procedures, identify potential areas of improvement, and provide actionable recommendations to enhance your compliance program.
Compliance Program Implementation & Development
Annual Compliance Programs: Providing ongoing support and training to ensure firms remain compliant with regulatory requirements.
Regulatory Exam Support
NextReg’s regulatory exam support services are designed to help your firm prepare for and navigate SEC and state examinations with confidence. From pre-exam readiness assessments to post-exam remediation, our expert consultants will ensure you have all the necessary documentation, procedures, and practices in place to meet regulatory standards. With our thorough and proactive approach, you can minimize disruptions, address potential issues before they arise, and demonstrate your firm's commitment to compliance excellence.
Technology Solutions
Not sure where to start for systems? NextReg can help you select the newest, best in class software providers to set you up with efficient tools that allow you to focus on growing the business.
Vendor Risk Management
At NextReg, we specialize in comprehensive vendor risk management services designed to identify, assess, and mitigate potential risks associated with third-party vendors. Our experts will help you implement robust due diligence processes, monitor vendor performance, and ensure compliance with regulatory standards.
Our Commitment to Excellence
At NextReg, we are committed to excellence in every aspect of SEC compliance. Our tailored solutions, expert team, and dedication to client success set us apart in the industry, making us the trusted partner for advisors seeking institutional-grade compliance support.