Obligations United States Registered investment advisers
What a registered investment adviser has to have in writing.
The 206(4)-7 compliance program, Regulation S-P notices, the anti-money-laundering program with its 2026 effective date, and the employer layer.
Headcount
Industry General is always on
State
Adds the state layer on top. All states →Sponsored
Policy Acknowledgment Proof
AttestedCompliance manual 2026by name, on record
Annual Review Donewith AllyMatter
Examiner-Ready the Modern WayYour compliance manual, attested annually
01
Approve it, lock the version
Non-author approval, obsolete copies blocked
02
Every associate attests, on time
Code of ethics acknowledgments, re-collected each year
03
Hand the examiner the trail
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What applies
Obligations for a 15-person general business.
Grouped by the headcount at which each one switches on, then by industry. Each row links to the page with the full text and the firms that help.
Further reading
- The acknowledgment you can’t proveWhy a written policy that nobody signed for fails the inspection that the policy was meant to pass. Applies to every “written policy” row above.From the publisher AllyMatter
- Stay legally compliantThe SBA’s baseline of external and internal requirements, useful as a second opinion on the general rows.U.S. Small Business Administration
- FirstStep Employment Law AdvisorThe Department of Labor’s own questionnaire that tells you which of its laws, posters and records apply to your headcount.U.S. Department of Labor
Other US segments
The same index, preset for another kind of business.
Small businessEvery law that makes a US small business write something down.Construction contractorsWhat a construction contractor has to have in writing.Healthcare practicesWhat a medical, dental or behavioral health practice has to have in writing.Food and beverage businessesWhat a food business has to have in writing.Tax and accounting firmsWhat a tax preparer or CPA firm has to have in writing.Insurance agenciesWhat an insurance agency has to have in writing.Retail and e-commerceWhat a retailer has to have in writing.Trucking and logistics carriersWhat a motor carrier has to have in writing.NonprofitsWhat a nonprofit has to have in writing.Federal contractorsWhat a federal contractor has to have in writing.
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