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Our Compliance Process

ENTERPRISE COMPLIANCE PLAN

We provides institutional-grade SEC compliance know-how to independent advisors in growth mode.

FULL-SERVICE COMPLIANCE FOR RIAs & STATE ADVISORS

REGULATORY
FILINGS

FOR RIA's

Form 13F
Form 13H
Schedule 13G, D
Form ADV

  • Part 1A - Firm Data

  • Part 2A - Brochure

  • Part 2B - Adviser info

  • Part 3A - CRS

Form U4/U5 (For IARs)

BD

Form BD

Form BR

Form U4/U5

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.

Navigate SEC compliance with confidence. Share your requirements with us today and take the first step towards a compliant future.

© 2025 by NextReg. All rights reserved.

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