Frequently asked questions

We've got the answers to your most frequently asked questions (FAQs).

RIA in a Box FAQs

Does the system allow CCOs to manage a restricted securities list?
What is included in onboarding?
Why do I need to archive my RIA firm's website?
Who was RolloverAnalyzer created for?
Does the system create access person holdings and transactions reports?
Do I need to report my credits to the Financial Industry Regulatory Authority (FINRA)?
Who is this product designed for?
Why use Virtual Desktop Infrastructure?
Can RIA in Box’s cybersecurity solution be customized?
Which states have adopted an independent adviser representative (IAR) CE requirement?
Why do I need to archive my RIA firm's social media accounts?
Who would need registration support?
Does the system follow the NIST cybersecurity framework?
Does RIA in Box’s Rollover Analyzer provide access to the Form 5500 Database?
What is included with a MyRIACompliance subscription?
Which regulations will this tool help me comply with?
What is available with a compliance software package?
What are the archiving requirements for an RIA firm?
Who can benefit from RIA in Box’s cybersecurity?
Is there a fee for training and onboarding?
What are the requirements for advisers which provide rollover recommendations under the Department of Labor’s (DOL) PTE 2020-02?
What is Virtual Desktop Infrastructure?
Why is it necessary for RIAs to archive emails?
Do I have to purchase MyRIACompliance to access RIA in a Box’s continuing education offerings?