Compliance Approved is the all-in-one compliance platform built for RIAs, broker-dealers, dual registrants, and state-registered investment advisers. We cover SEC, FINRA, and state-level regulatory requirements in a single platform — something most compliance tools don't do.

Our platform handles marketing material review with AI-powered analysis, code of ethics and personal trading pre-clearance, attestation tracking, compliance training management, policy libraries, audit-ready reporting, and a regulatory calendar that keeps your firm ahead of deadlines — not scrambling to meet them.

We also offer hands-on compliance consulting for firms that need more than software. 

Whether you're a solo RIA navigating state registration requirements, a mid-size broker-dealer managing FINRA advertising rules, or a compliance consultant serving dozens of clients, Compliance Approved gives you federal, state, and SRO coverage without stitching together multiple vendors.

Built by compliance professionals, for compliance professionals.

Compliance Approved

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