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

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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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