Annual Compliance Review

FLC offers a package of customized services to ensure your firm meets its Annual Review requirements as either a SEC registered investment adviser or broker-dealer (FINRA Rules 3012 and 3013).

Please complete this form and submit to learn more about our Annual Review Services.

I would like to: (check all that apply) Discuss Annual Review Information by Telephone Receive Annual Review Information by Email Schedule My Annual Review Discuss Other Compliance Needs by Telephone

First Name: *        Firm Name: * Last Name: * Firm Address 1: * Title: * Firm Address 2:     Email Address: *    City State Zip: *    Phone Number: *        Fax Number:

Firm Type: (check all that apply) Registered Investment Adviser Registered Broker-Dealer Hedge Fund Insurance Company Investment Company REIT Firm Size: $50 to $100 million $100 to $500 million $500 million to $1 billion Over $1 billion None of the above

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