We'll help you understand what tasks need to be completed before you begin the initial registration process. Topics covered include 1) Compliance services offered by XYPN, 2) The initial registration process, and 3) The ADV update process.
Please complete this coursework before attending Initial Registration Office Hours
Join the compliance team for weekly office hours, every Tuesday and Wednesday. We can help with you with any regulatory issues that arise or with general compliance questions.
Attend our quarterly live compliance webinars for advanced content for established firms.