About
Who We Are
At 3K Regulatory Consulting, we specialize in helping registered investment advisers (RIAs), exempt reporting advisers (ERAs) and broker-dealers navigate today’s evolving regulatory landscape.
Our tailored compliance solutions are designed to meet the unique needs of each client — whether you're launching a new firm, launching new products, undergoing an exam, or scaling operations in a complex environment.
From registration and policy development to mock audits and ongoing compliance support, we provide the strategic guidance and regulatory expertise you need to stay ahead of risk — and focused on growth.
We are also members of the Florida Securities Dealers Association, focusing on financial literacy and elder fraud.
What We Do
- Investment Advisor & Broker Dealer Compliance Programs
- Outsourced CCO Services
- Training Programs
- Risk Assessment
- Regulatory Exam Support
- AML Compliance
- Board Best Practices
- Marketing Review
- Elder Fraud
Headlines
It was announced on September 17, 2025 that the Commodity Futures Trading Commission and the Securities and Exchange Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF, the confidential reporting form used by certain private fund advisers. The Commissions extended the compliance date to Oct. 1, 2026.
https://www.cftc.gov/PressRoom/PressReleases/9126-25
On June 11, 2025, The Securities and Exchange Commission, together with the U.S. Commodity Futures Trading Commission, voted to extend the compliance date until Oct. 1, 2025, for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these amendments was originally March 12, 2025, but was previously extended to June 12, 2025.
On March 12, 2025, the U.S. Securities and Exchange Commission (SEC) issued a no-action letter providing interpretive guidance on verifying accredited investor status under Rule 506(c) of Regulation D. This guidance allows issuers to streamline the verification process by relying on high minimum investment thresholds combined with specific investor representations. https://www.sec.gov/rules-regulations/no-action-interpretive-exemptive-letters/division-corporation-finance-no-action/latham-watkins-503c-031225
2025 SEC Examination Priorities https://www.sec.gov/files/2025-exam-priorities.pdf
AML Program Requirements for Investment Advisers
Contact Us
Better yet, see us in person!
Send a message via email to james@3kregulatoryconsulting.com or via cell phone at 781.424.7019, and we will get back to you soon to schedule a consultation.
3K Regulatory Consulting
4858 Sweet Blossom Cove, Sanford, FL 32771, USA
Email: james@3kregulatoryconsulting.com Phone: 781.424.7019
Hours
Open today | 09:00 am – 05:00 pm |
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