Let Joot Help with SEC Exam and Audit Preparation
We're building a tool tailored to your firm that simplifies the arduous SEC exam process. Prepare, organize, and file to the SEC with confidence. Joot has your back with a unique blend of technology and service experts.
Get a sample of questions your firm would be required to answer by the SEC
Enter your CRD# for a customized list of SEC exam requirements personalized for your RIA firm. If you don't know your firm's CRD#, you can search for it here.
Get your firm's personalized audit requirements using our step by step tool. Prepare your documents with ease as you start your SEC exam prep.
We'll tell you what information is required and organize your files with our cloud-based solution. Your data is always secure and private.
Generate a custom report by exam type and file electronically. Any SEC follow up questions will be supported by a dedicated Joot compliance expert.
Joot compliance expertise infused into an easy to use step by step tool
Relax with the knowledge you are prepared for any SEC examination
Organization based tasks allow employee collaboration to seamlessly complete exam requirements.
Joot Revolutionizes Compliance
RIA compliance can be repetitive and time consuming - so we built a technology platform built by industry experts to simplify these tasks and make your work more fulfilling.
Learn more about our compliance technology.
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Upcoming Feature from Joot Labs: SEC Exam and Audit Preparation Tool
The prospect of an SEC examination can send even the most diligent firms into a panic. Prepare, organize, and make SEC filings with confidence using Joot's upcoming SEC Exam and Audit Preparation Tool.
Upcoming Feature from Joot Labs: Communication Compliance Review Tool
Keeping all your communications compliant with SEC standards shouldn’t hold your business back. Here at Joot, we’re building a tool to simplify communications compliance.
Get a customized compliance program that fits your firm
Compliance doesn’t drive your business forward, but it can hold you back.
Reach out for a free consultation on our services and technology.