Compliance filings
Compliance filings for Form U4 registration data, ADV Part 2B supplements, and 13F reports, prepared with less manual work from information your firm already has.
No more retyping Form U4 data
Upload an existing Form U4, and Greenboard fills in the employee's registration profile for you. Your team can manage registration records without rebuilding them by hand.
- Direct FINRA integration for CRD management
- Profiles populated from uploaded Form U4
- Registrations and licenses in one place
- Continuing education requirements tracked
ADV Part 2B supplements, drafted for you
Supplements stay current without anyone rewriting them by hand, and no supervised person goes without one.
- Bring your own template
- Narrative sections drafted by GreenboardGo
- Refreshed when someone's details change
- Gaps flagged before you sign off
13F reports, ready for review
Every quarter, the holdings data is gathered for your 13F report, so your team can focus on reviewing the filing instead of putting it together by hand.
- Holdings data gathered by Go
- An owner and deadline each quarter
- Ready for your team to review and file
- Nothing filed without sign-off
Every filing, on the record
You can show exactly how each filing was prepared and reviewed.
- What triggered each draft
- Template version on every supplement
- Signed, finalized filings
- A history of every change
Also included
- Form U4 uploads
- FINRA CRD integration
- CRD numbers and registrations
- Licensing and continuing education
- ADV Part 2B supplements
- 13F holdings data
- Signed, exam-ready records
Software built for a culture of compliance.
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Run every client firm or entity from one console, and push your program to all of them.
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Pre-clearance, disclosure, and monitoring for Kalshi, Polymarket, and other prediction markets.
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Built for AI-native compliance teams.
See how your program runs on one system. Implementation is measured in weeks, not quarters.