How many people’s financial information does your firm hold records on?

Count everyone whose information you still have, including prior-year clients, archives and backups, and anything a service provider holds for you.

Why this is free

Because it is the part you can check. Every line is the rule’s own text with the citation next to it, so you can read 16 CFR Part 314 yourself and see whether we have it right. A vendor who will not show you that is asking you to take the rest on faith.

What the list does not do is write the plan. 16 CFR 314.3(a) requires a written program, and a list of duties is not one. That is the paid product: four documents tailored to your firm, every provision cited, $299 once or $149 a year with a dashboard that tracks the duties above and tells you when one comes due.