Founders and finance leaders have enough on their plates without having to become compliance experts. That's why we're excited to introduce the Compliance & Tax hub—a comprehensive dashboard where you can quickly see the status of your various compliance tools and take the necessary actions to stay on top of regulatory requirements.
Now, you can view your company's status for 409A valuation, QSBS eligibility, Form 3921, and more—all from a single, actionable dashboard. Think of it as your command center for compliance, designed to help you confidently navigate your tax obligations and stay audit-ready.
Why we built the Compliance & Tax hub
Staying compliant with tax and financial regulations can feel overwhelming—like keeping your 409A up to date, generating Form 3921 for employees, and accurately reporting stock-based compensation. Carta offers tools to handle all of these, but many of our customers either don’t know they have to take action to stay compliant or don’t know Carta could help. Despite 90% of customers having access to 409A valuations, only 57% have an active fair market value (FMV) on their Carta account. That's why we built a solution to make compliance clearer, more transparent, and easier to manage.
Carta's Tax and Compliance hub allows you to:
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Easily track regulatory requirements: Now you have all the Carta tools that help you comply with IRS regulations and GAAP/IFRS standards in one dashboard.
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Eliminate guesswork: Know your compliance status at a glance. Quickly see your real-time compliance status, what actions you’ve completed, and what actions you need to take.
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Take action: Whether you need to start a new 409A valuation request, confirm your QSBS status, or generate Form 3921, you can do it without having to hunt for information or switch between tools.
What’s included?
The Compliance & Tax hub brings together:
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409A valuations: Get trusted, audit-ready 409A valuations—fast. See your FMV status, request a new 409A valuation, and ensure your FMV stays under safe harbor.
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Financial reporting: Generate audit-ready financial reports with ease. For Scale plan customers, our financial reporting tools include automatic updates for equity transactions and FMV changes, in accordance with GAAP/IFRS standards.
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QSBS: Save up to 100% in capital gains taxes by optimizing your equity tax benefit. Manage your QSBS eligibility, see QSBS eligible shares, and request an attestation letter for tax filing purposes.
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Form 3921: If your employees exercised ISOs, you'll be prompted to generate Form 3921, send to employees, and download Copy A to file with the IRS.
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Corporate Transparency Act (CTA): See a countdown for CTA filing due dates and easily complete your filing within Carta to stay compliant with FinCEN rules.
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Tax Rules & ISO 100K: Review your tax rules and access key stock option information—available to all plans.
Compliance doesn't need to be overwhelming. We're here to help you stay on top of your tax obligations and reporting requirements so you can focus on what matters most—growing your business.
