Announcing the first AI harness for securities compliance

GreenboardGo 2.0

The first AI harness built for SEC and FINRA compliance

GreenboardGo 2.0 runs across the whole Greenboard platform, so compliance teams can ask, configure and automate any part of their program from one place, with every step written to a WORM-based, 17a-4 compliant record. It also works where teams do: in Slack, Teams, Claude and ChatGPT.

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RIA and broker-dealer registration

RIA and broker-dealer registration for new registrants standing up a compliance program from day one.

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A new firm getting started

Overview

RIA and broker-dealer registration goes faster with Greenboard. New RIAs and broker-dealers streamline registration and launch on a single AI-powered compliance operating system, with pre-configured calendars, policies, and workflows that get you launch-ready in weeks.

  1. 01

    Launch-ready in weeks

    Pre-configured calendars, policies, and workflows put a brand-new firm in full compliance faster than previously possible.

  2. 02

    Expertise in hand

    Greenboard partners with the best expert service providers for guidance and filings, so you’re not left holding the bag for the things technology isn’t best suited for.

  3. 03

    Automated policy updates

    AI suggests language edits as regulations evolve, so your manuals are never stale.

  4. 04

    Support and guidance

    Greenboard has a world-class support team with thousands of registrations under our belt to help you navigate compliance.

  5. 05

    Easy to use

    Greenboard is rated the highest among our peer group in industry surveys for a reason: we have the best user experience for compliance software in the category.

  6. 06

    Scalable pricing

    Add users and modules à la carte as you grow, avoiding the “all-or-nothing” lock-ins common with legacy suites.

What we hear from newly registering firms

New registrants, and the consultants helping them, setting up a full program for the first time.

  • Testing obligations are overwhelming

    Working out what has to be tested, when, and how to evidence it is the hardest part of standing up a program.

  • The program needs to be live on day one

    Archiving, the Code of Ethics, and onboarding should be running by the time the registration is effective.

  • Form ADV asks about your vendors

    New firms need details like where books and records are kept and which vendors hold client data.

In practice

How teams like yours use Greenboard

01

A calendar ready from day one

Start from a ready-made compliance calendar of workflows and adjust it to your policies, so every obligation, from registration deadlines to amendments, has an owner and a schedule from the start.

02

Onboarding that runs itself

New hires get onboarding attestations automatically, policy acknowledgments included, and you can see who has finished.

03

Archiving connected before the first client

Connect email, text messages, and social accounts before launch, so every client communication is captured from the first conversation.

Other firm types

FAQs

Frequently asked questions

What compliance software does a new RIA need?

A new RIA needs a compliance calendar, a Code of Ethics with personal trading, communications archiving, and onboarding attestations running by the time its registration is effective. Greenboard starts new firms with pre-configured calendars, policies, and workflows, launch-ready in weeks.

How can a new firm streamline RIA registration?

Pair the platform with expert help. Greenboard partners with expert service providers for guidance and filings, while the platform has your calendar, archiving, and onboarding ready before the first client.

How do new RIAs keep track of registration deadlines and amendments?

From a compliance calendar. Greenboard starts you on a ready-made calendar of workflows that you adjust to your policies, so every obligation has an owner and a schedule from day one.

Does Greenboard help with Form ADV?

Greenboard drafts ADV Part 2B supplements and keeps them current, and it keeps details Form ADV asks for, like your vendors, on record. For the registration filing itself, Greenboard partners with expert service providers.

Built for AI-native compliance teams.

See how your program runs on one system. Implementation is measured in weeks, not quarters.