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 Updates List of Firms Using Inaccurate Information to Solicit Investorson September 15, 2023 at 1:34 pm
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 29 soliciting entities, three impersonators of genuine firms, […]
- SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Pickingon September 14, 2023 at 8:48 pm
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for allocating profitable securities trades to favored […]
- SEC Proposes Improvements to EDGAR Filer Access and Account Managementon September 13, 2023 at 8:20 pm
The Securities and Exchange Commission today proposed rule and form amendments to improve filer access to and management of accounts on the SEC’s EDGAR system. The proposed amendments would require EDGAR filers to authorize identified individuals […]
- SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTson September 13, 2023 at 2:00 pm
The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (NFTs) that raised approximately $8 million from investors […]
- SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesseson September 13, 2023 at 1:30 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, September 19. The meeting will include a discussion of ways to invest in early-stage companies, as […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con September 18, 2023 at 9:42 am
Proxy Rules and Schedules 14A/14C
- Sample Letter to Companies Regarding Their XBRL Disclosureson September 7, 2023 at 9:30 pm
The illustrative letter contains sample comments that, depending on the particular facts and circumstances, and type of filing under review, the Division may issue to certain companies.
- Exchange Act Form F-SRon August 30, 2023 at 10:00 pm
Section 113. Form F-SR
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on August 25, 2023 at 4:40 pm
- Section 133A. Item 408 b - Insider Trading Arrangements and Policieson August 25, 2023 at 4:40 pm