Computer programming services, namely, Software as a service (SaaS) featuring software for automated compliance monitoring of financial advisor and registered investment adviser websites for adherence to FINRA Rule 2210 and the SEC Marketing Rule; compliance review workflow software for broker-dealers and registered investment advisers.

'2210':29 'adher':25 'advis':22,46 'advisor':18 'autom':13 'broker':41 'broker-deal':40 'complianc':14,35 'comput':1 'dealer':42 'featur':10 'financi':17 'finra':27 'invest':21,45 'market':33 'monitor':15 'name':4 'program':2 'regist':20,44 'review':36 'rule':28,34 'saa':9 'sec':32 'servic':3,8 'softwar':5,11,38 'websit':23 'workflow':37

COMPLIANCEGUARD PRO

Owner

Goods & Services