u/BVB09_FL

Anyone have recommendations for compliance firms that handle the transition from state registration (FL) to SEC?

I’ve been talking with my current consultant, but the pricing they quoted feels pretty steep. Hard to tell whether that’s just the market right now or if I should be getting other opinions.

Part of why I’m questioning it is because our last state exam went pretty smoothly, and the regulators more or less indicated that our existing framework already aligns closely with SEC expectations.