About
Who We Are
At 3K Regulatory Consulting, we bring over 35 years of hands-on experience serving the financial services industry.
We specialize in helping registered investment advisers (RIAs), broker-dealers, and fintech firms 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, 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.
What We Do
- Investment Adviser & Broker Dealer Compliance Programs
- Policy & Procedure Development
- Training Programs
- Risk Assessment
- Regulatory Exam Support
- AML Compliance
- Board Best Practices
- Marketing Review
Headlines
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
SEC Examinations Risk Alert https://www.sec.gov/files/risk-alert-ia-risk-and-requesting-documents-090623.pdf
Contact Us
Better yet, see us in person!
Send a message via email to bdcomplyguy@gmail.com or via cell phone at 781.424.7019, and we will get back to you soon to schedule a consultation.
3K Regulatory Consulting
3909 Wynwood Circle, Highlands Ranch, Colorado 80126, United States
Email: bdcomplyguy@gmail.com Phone: 781.424.7019
Hours
Open today | 09:00 am – 05:00 pm |
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