Some Valuable Resources

SEC Survival Guide

Being SEC compliant, in and of itself, is not the same as being prepared for an SEC exam. Our resources will prepare you.


A brief “heads up” from Focus 1 Associates on SEC compliance matters we believe to be timely and relevant.

Key Document Library

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Compliance Links

Find important web links to frequently used sites, articles, rules, guides, etc. relating to compliance.

About Us

Welcome to 206(4)-7 a Compliance Resource site brought you by Focus 1 Associates


We help identify Compliance Risks

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We help Automate the Process

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Expert People

Our Team Members

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Tobin S. Cochran, IACCP®

Managing Member / President

Kevin W. Poteracke

Compliance Associate

Mark D. Comish

Head of Regulatory Filings & Tech, COO
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