Regulatory Filings

Aspect Manages Your Regulatory Status and Your Regulatory Filings

You have enough on your plate driving revenue and performance and keeping your clients satisfied. Aspect Advisors can oversee preliminary and periodic requirements to initiate and maintain the regulatory status that fits your business needs.

Aspect will:

• Draft, review and maintain applications for registration with individual states, SEC, FINRA, CFTC, NFA, and other pertinent regulators.

• Complete all of the required paperwork and filings, and correspond with the applicable regulator(s) on your behalf during a registration or business expansion.

• Monitor your asset levels, customers’ locations, and investing/trading activity to determine ongoing filing requirements in different jurisdictions and will make associated filings on your behalf.

Some examples of the more common filings that we complete include:

Registered Investment Advisers (RIAs) and Fund Managers

  • Form ADV
  • Schedule 13D/G, 13F, 13H
  • Form PF

Commodity Trading Advisors (CTAs) and Commodity Pool Operators (CPOs)

  • Form 7-R
  • Annual Questionnaire and Annual Report
  • Form CPR/PQR

Broker-Dealers (BDs)

  • NMA, CMA, Form BD
  • Form U4, Form BR
  • Rule 2210, Rule 4530, and Rule 5123 Reporting