Skip to content

What to keep, and what examiners have asked for.

Email and marketing recordkeeping for small RIAs, with the rules and SEC risk alerts cited, on one printable page.

Preview of the first section of the checklist

Get the checklist

Download the checklist

One page, PDF, last reviewed October 17, 2026. No email address needed, so nothing follows.

What is inside

Four sections: Records, Electronic storage (if used), Supervision, and Marketing.

Sources are Rule 204-2, Rule 206(4)-7, the SEC's September 2023 request list and April 2024 Marketing Rule risk alert, with a pointer to Rule 206(4)-1(e)(1) and the full URLs printed on the checklist. Checked against eCFR text as of October 15, 2026. A reference for your own review, not legal advice.

Prefer a score? Check your readiness in 6 questions. About 2 minutes, no email needed.