Regulatory & Compliance

Ongoing Compliance Oversight, Not Just Registration

Regulatory requirements evolve, and compliance needs consistent attention, not a one-time checklist. Stable Rock supports registration, program design, ongoing testing, and exam readiness so your compliance program stays current, documented, and defensible.

INITIAL ERA OR RIA REGISTRATION AND CCO SUPPORT

Advisory and coordination support for new ERA or RIA registrations, including Form ADV preparation, regulatory filings, and ongoing CCO-level guidance.

DEVELOPMENT OF POLICIES AND PROCEDURES

Design and documentation of compliance manuals, codes of ethics, personal trading policies, valuation procedures, and governance frameworks aligned to your strategy.

ONGOING COMPLIANCE PROGRAM REVIEWS AND TESTING

Periodic testing, control reviews, annual updates, and documentation support to maintain an effective compliance program.

MOCK EXAMS AND SEC, CFTC, NFA, OR FINRA EXAMINATION SUPPORT

Preparation support through mock examinations, document organization, remediation planning, and response coordination during regulatory reviews.

REGULATORY FILINGS AND REPORTING SUPPORT

Assistance with Form ADV updates, Form PF, Form D, Blue Sky filings, and other recurring regulatory requirements.

ERA or RIA registration and initial compliance program buildout

Annual compliance reviews and testing documentation

Mock exams and examination readiness preparation

Regulatory filing calendar management and update coordination

Remediation support following regulatory findings