...compliance solutions made simple.

561-600-0565

RIA Compliance
  • Home
  • Services
    • Smart RIA Compliance Software – NEW!
    • Full Service RIA Registration
    • Ongoing Compliance Assistance Program
    • Cybersecurity Compliance Products
    • Mock SEC/State examinations
    • Advertising Content and Compliance
    • Customized Compliance Procedures
  • Knowledge Center
    • Rules & Regulations
      • SEC Rules and Regulations
    • Useful Links
      • State Securities Divisions
      • SEC and FINRA
      • Other Industry Links
  • About Us
  • BLOG
  • Contact Us
  • REQUEST FOR PROPOSAL
Select Page

SEC Adopts Amendments to Broaden Accredited Investor Definition

by Ara Jabrayan | Apr 26, 2021 | accredited investor, SEC Rules

On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for determining who is eligible to participate in private capital markets. The SEC’s final rule can be found HERE. According to Chairman Jay Clayton of the...

Recent Posts

  • NASAA Statistics Show RIAs They Need to Improve their Compliance Programs
  • SEC’s Staff Bulletin Explains How Investment Advisers and Broker-Dealers Should Deal with Conflicts of Interest
  • Three Firms Flagged by SEC for Identity Theft Red Flags Rule Violations
  • CCOs Should Carefully Consider SEC Commissioner’s Personal Liability Analysis
  • Continuing Education Requirements Are on the Horizon for Many IARs

Recent Comments

  • making a complaint rias - andportal on Client Complaints

Archives

  • January 2023
  • October 2022
  • August 2022
  • July 2022
  • May 2022
  • April 2022
  • February 2022
  • January 2022
  • October 2021
  • September 2021
  • July 2021
  • June 2021
  • May 2021
  • April 2021
  • October 2020
  • September 2020
  • December 2019
  • November 2019
  • September 2019
  • August 2019
  • October 2017
  • September 2017
  • February 2017
  • January 2017
  • December 2016
  • November 2016
  • October 2016
  • September 2016
  • August 2016
  • July 2016
  • June 2016
  • May 2016
  • April 2016
  • March 2016
  • January 2016
  • December 2015
  • November 2015
  • October 2015
  • September 2015
  • August 2015
  • July 2015
  • June 2015
  • May 2015

Categories

  • 12b-1 Fees
  • Account Recommendations
  • accredited investor
  • ADV Part 2A
  • ADV Part 2B
  • Advertising
  • Best Execution
  • Books and Records
  • Business Continuity and Disaster Recovery Plans
  • Cherry-Picking
  • Chief Compliance Officer
  • Client Relationship Summary
  • Code of Ethics
  • compliance deficiencies
  • Compliance Violations
  • Conflicts of Interest
  • Continuing Education
  • Crypto-Assets
  • Cyberattack
  • Cybersecurity
  • De minimis exemption
  • Deficiencies
  • Department of Labor
  • Disaster Recovery Plans
  • Division of Enforcement
  • Division of Examinations
  • Division of Investment Management News
  • DOL Fiduciary Rule
  • Dually Licensed
  • Duty of Care
  • Emerging Technologies
  • ERISA
  • Examination Priorities
  • Fee Calculations
  • Fiduciary Duty
  • Form ADV
  • FORM CRS/Form ADV Part 3
  • Form U4
  • Gramm-Leach-Bliley Act
  • Hedge Clause
  • Improper Share Class Selection
  • Investment Adviser Code of Ethics
  • Investment Adviser Representative
  • Investment Advisers Act
  • Investment Advisers Act – Section 206(2)
  • Investment Advisers Act – Section 206(4)
  • Investment Advisers Act – Section 206(4)-7
  • North American Securities Administrators Association (NASAA)
  • Office of Compliance Inspections and Examinations (OCIE)
  • policies and procedures
  • Press Releases
  • Private Funds
  • Registered Investment Advisers (RIAs)
  • Regulation Best Interest (BI)
  • Regulation S-ID
  • Regulation S-P
  • Remove term: Products and Practices Products and Practices
  • retail investor
  • Retail Investors
  • RIA Compliance
  • RIA Compliance Policies
  • Robo-Advisers
  • Safeguards Rule
  • SEC Cybersecurity
  • SEC Investment Adviser Compliance
  • SEC NEWS
  • SEC Rules
  • SEC Staff Bulletin
  • Securities Exchange Act
  • Share Class Selection
  • Social and Governance (ESG)
  • Social Media
  • Social Media White Paper
  • Solicitation
  • Standards of Conduct
  • State Investment Adviser Compliance
  • Supervision Initiative
  • Texas
  • Uncategorized
  • Wrap fee
  • Wrap Program

Meta

  • Log in
  • Entries feed
  • Comments feed
  • WordPress.org
  • Home
  • About Us
  • Full service SEC and State registration
  • Ongoing Compliance Assistance Program
  • Cybersecurity Compliance Products
  • Smart RIA Compliance Software
  • Advertising content and compliance
  • Customized compliance policies and procedures
  • Full service SEC and State registration
  • Mock SEC and State examinations
  • State Securities Divisions
  • SEC and FINRA
  • Other Useful Links
  • Contact Us

RIA COMPLIANCE GROUP, LLC - 701 S.E. 6th Ave. Suite 201 - Delray Beach, FL 33483
Main Phone: (561) 600-0565 • FAX: (866).688.7225 - EMAIL US
© RIA COMPLIANCE GROUP, LLC