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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

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RIA COMPLIANCE GROUP, LLC

SEC NEWS

SEC NEWS

  • SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
    on January 26, 2022 at 4:30 pm

    The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. […]

  • SEC Proposes Amendments to Enhance Private Fund Reporting
    on January 26, 2022 at 3:39 pm

    The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments are designed to enhance the Financial […]

  • Former Financial Advisor Charged with Stealing $5.8 Million from Client
    on January 24, 2022 at 6:00 pm

    The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client.The SEC’s complaint alleges that […]

  • SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
    on January 21, 2022 at 4:30 pm

    The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions.In the first order, the SEC issued an award of…

  • SEC Seeks Candidates for Investor Advisory Committee
    on January 19, 2022 at 4:00 pm

    The Securities and Exchange Commission is seeking candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations.The committee was established under the Dodd-Frank Wall Street Reform […]

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