At Joot, we’re committed to simplifying compliance for investment advisers. Check out these useful guides, white papers, and other resources to make your job easier!

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Joot Compliance Newsletters

Compliance Newsletter

A quarterly roundup of what you need to know

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Additional Resources & Downloads

SEC Marketing Rule

This guide walks you through the major parts of the new SEC marketing rule effective on May 4, 2021 with a compliance date of November 4, 2022. This new rule provides a much-needed update to advertising regulations.

Download Guide

Regulating Crypto

This guide considers the major issues around regulating cryptocurrency as they apply to RIA firms and their clients.

Download Guide

AI & Regtech

This guide on artificial intelligence and regtech was developed to supplement the session titled “Will AI Revolutionize the Financial Services Industry?” at the 2021 NSCP National Conference.

Download Guide

CCO's Guide to Surviving a
 Regulatory Examination

Every firm will go through an examination at some point. In this guide, we summarize the collective experience of our CCO consultants to help you make it through your next exam as cleanly as possible.

Get Prepared

You shouldn’t have to worry about your compliance program being exam ready

Joot helps you master compliance so you can focus on helping your clients.

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