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 Shuts Down WeedGenics $60 Million Cannabis Offering Fraudon May 23, 2023 at 5:30 pm
The Securities and Exchange Commission obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National Resources Inc. (INR), which does business as WeedGenics, and its owners, Rolf Max Hirschmann […]
- Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policyon May 19, 2023 at 3:30 pm
The Securities and Exchange Commission today announced that Mellissa Campbell Duru has been named Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance. Ms. Duru most recently was a Special Counsel at Covington […]
- SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencieson May 17, 2023 at 4:00 pm
The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. The proposal would amend the existing rules regarding intraday margin and the use […]
- SEC Charges 10 Microcap Companies with Securities Offering Registration Violationson May 16, 2023 at 11:45 am
The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration […]
- SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accountson May 15, 2023 at 4:00 pm
The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con May 30, 2023 at 8:39 am
Proxy Rules and Schedules 14A/14C
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on May 25, 2023 at 9:00 pm
Question 120.28
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on May 25, 2023 at 9:00 pm
Question 120.27
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on May 25, 2023 at 9:00 pm
Question 120.26
- Certain Broker-Dealer Practiceson May 12, 2023 at 9:00 pm
Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act OF 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND 602(c)(3) of the Securities […]