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RIA COMPLIANCE GROUP, LLC
701 S.E. 6th Ave. Suite 201 – Delray Beach, FL 33483
PHONE: (561) 600-0565 – FAX: (866) 688-7725 – EMAIL: sales@ria-compliance.com
SEC NEWS
SEC NEWS
- SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Managementon April 17, 2024 at 6:45 pm
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a […]
- SEC Issues Second Fee Rate Advisory for Fiscal Year 2024on April 17, 2024 at 2:30 pm
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue […]
- SEC Charges Five Investment Advisers for Marketing Rule Violationson April 12, 2024 at 1:00 pm
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. […]
- Register for the SEC’s 43rd Annual Small Business Forum April 16-18on April 4, 2024 at 8:00 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from […]
- SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failureson April 3, 2024 at 6:33 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con April 19, 2024 at 3:51 pm
Proxy Rules and Schedules 14A/14C
- MorphoSys AGon April 11, 2024 at 4:00 pm
Response of the Office of Mergers and Acquisitions
- Senvest Management, LLCon April 3, 2024 at 11:05 pm
Waiver of disqualification pursuant to Rule 506(d)(2)(ii) of Regulation D
- Compagnie Maritime Belge NVon February 9, 2024 at 3:50 pm
Response of the Office of Mergers and Acquisitions
- Aon plcon January 25, 2024 at 4:05 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933