Small Business Compliance Checklist
Stay legal and organized. Track the essential steps to keeping your business compliant with local and state regulations.
File your DBA or LLC articles with the state setup.
Get your Employer Identification Number from the IRS.
Separate personal and business finances.
Post mandatory state and federal labor laws in common areas.
Required in most states as soon as you hire an employee.
Protect your business from lawsuits.
Register to collect sales tax if you sell taxable goods.
Document policies and procedures for staff.
Disclaimer for how you handle customer data (GDPR/CCPA).
Internal document outlining LLC ownership rules.
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Why this matters
Failure to comply with state and federal regulations can lead to heavy fines, legal liability, or even business dissolution.
TIP: Complete the "Structure" items first to establish your legal entity properly!
The Foundation of Business Compliance
Compliance is the process of ensuring that your business follows all applicable laws, regulations, and standards. For small businesses, this can range from local zoning laws to federal tax obligations. Staying compliant isn't just about avoiding fines—it's about building a stable, credible foundation for growth.
Common Compliance Milestones
1. Entity Registration
Registering your business as an LLC, Corporation, or Sole Proprietorship with your state's Secretary of State.
2. Tax IDs (EIN)
Applying for an Employer Identification Number from the IRS, which is essential for hiring and opening business bank accounts.
3. Licenses & Permits
Securing the specific professional or local operating licenses required for your industry.
4. Ongoing Filings
Managing annual reports, tax returns, and meeting minutes to maintain your business's "good standing."
Professional Disclaimer
This checklist is for informational purposes only and does not constitute legal advice. Compliance requirements vary significantly by industry, entity type, and location. We strictly recommend consulting with a qualified attorney and a CPA to ensure you are meeting all legal and tax obligations.
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