RIA Registrations
Full service RIA registrations with the SEC or states
Ongoing Compliance
Cost effective consulting packages
Compliance Review & Assessments
SEC Rule 206(4)-7 and state compliance reviews
Cybersecurity Compliance
Make cybersecurity compliance a breeze
Compliance Dashboard
Fully customizable compliance software
Compliance Solutions for Registered Investment Advisers
RIA Compliance Group assists newly registered and established Registered Investment Advisers in all areas of regulatory compliance. In addition to initial registration services, we provide ongoing operational and compliance support services to small and midsized registered investment advisers. We take pride in giving practical compliance advice, not theoretical concepts and legalese. Too many registered investment advisers rely on RIA compliance consulting firms that understand SEC regulations but don’t have hands-on experience with state regulators. We interact with state securities regulators on a continuous basis and are aware of the specific regulations governing your practice.
The SEC and most states require each registered investment adviser to review its policies and procedures annually to determine the adequacy and effectiveness of their implementation. RIA Compliance Group offers on-site and off-site examination services that assist investment advisers in meeting their annual review requirement and provides an analysis of the adviser’s readiness for a full regulatory exam from either the SEC or the States.
SEC NEWS
SEC NEWS
- SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Researchon December 5, 2023 at 3:15 pm
The Office of the Investor Advocate of the Securities and Exchange Commission today published its Report on Activities for the Fiscal Year 2023 to Congress. The report highlights the work of the Office during the fiscal year.Notable highlights […]
- SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical...on November 30, 2023 at 6:13 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at 10:30 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Practical Applications […]
- SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraudon November 29, 2023 at 10:00 pm
The Securities and Exchange Commission today announced fraud charges against Phoenix-based real estate investment company ArciTerra Companies LLC and its CEO, Jonathan M. Larmore, for engaging in a multi-year scheme to misappropriate millions of […]
- SEC Names Kate E. Zoladz as Regional Director of Los Angeles Officeon November 29, 2023 at 8:59 pm
The Securities and Exchange Commission today announced that Kate E. Zoladz has been named Regional Director of the Los Angeles Office, effective Dec. 3, 2023. Ms. Zoladz has served as Acting Co-Director since June 2023 and as the Associate […]
- SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizationson November 27, 2023 at 8:30 pm
The Securities and Exchange Commission today adopted Securities Act Rule 192 to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. The rule is intended to prevent the sale of asset-backed…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con December 6, 2023 at 12:47 pm
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Securities Act Rules, Regulation S-K, and Interactive Dataon November 20, 2023 at 8:10 pm
Securities Act Rules, Regulation S-K, and Interactive Data
- Compliance and Disclosure Interpretations - Proxy Rules and Schedule 14Aon November 17, 2023 at 9:40 pm
Specific Exhange Act Topics
- Imperial Oil Ltd.on November 2, 2023 at 9:40 pm
Response of the Office of Mergers and Acquisitions
- BlackRock, Inc.on October 24, 2023 at 9:15 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933