Resources
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.

Podcasts
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 / PresidentLinda F. Beckmann, CSCP
Senior MemberVictoria A. Luiten, IACCP®
DirectorKevin W. Poteracke
Compliance AssociateMark D. Comish
Head of Regulatory Filings & Tech, COO
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