Guides for people who want to understand the next step.
Plain-English resources for startup founders and FINRA compliance teams: launch and entity basics, broker-dealer fundamentals, and what to organize before a compliance consultation.
Guides and tools
Startup Website Compliance Scan
Review up to five public pages for tracker, form, testimonial, marketing-claim, and business-identity signals.
Startup Legal Launch Checklist
Formation, founders, IP, contracts, financing, and a section for student founders.
Business Entity Selection Guide
LLC, corporation, S-corp election, professional and nonprofit corporations, with a Missouri filing-fee reference.
FINRA Compliance Readiness Checklist
Documents and issue areas to organize before a compliance or dispute consultation.
Broker-Dealer vs. Investment Adviser
Definitions, standards of conduct, registration, and how to verify a professional under Missouri law.
FINRA Rule 4530 Reporting for Broker-Dealers
Reportable events, the 30-day clock, quarterly complaint reporting, and building a WSP that holds up.
FINRA Rule 3270 OBA Review
What outside business activities need notice, what's excluded, and how firms evaluate a request.
SAFE & Convertible Note Review
Valuation caps, discounts, MFN clauses, and how stacking multiple SAFEs affects your cap table.
Elder Exploitation & the Aging Advisor
Rule 2165, trusted contacts, and the Senior Safe Act, plus the succession risk firms miss on the advisor's side.
AI Governance Checklist for Private Companies
Assign ownership, test high-risk uses, control vendor inputs, and keep marketing and investor claims inside the evidence.
Legal Review of Marketing Claims
A pre-launch checklist for testimonials, pricing claims, promotions, AI claims, and disclosures.
Consultant Confidentiality Checklist
What to protect, what a written agreement should say, and how to run a controlled handoff before access begins.
Arbitration Clauses in Business Contracts
Scope, forum, cost, confidentiality, and the practical questions to settle before you sign.
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