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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
RIA COMPLIANCE GROUP, LLC
SEC NEWS
SEC NEWS
- Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating...on February 3, 2023 at 12:39 pm
The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to […]
- SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizationson February 2, 2023 at 3:16 pm
The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, […]
- Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public...on January 31, 2023 at 5:00 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the […]
- SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnelon January 30, 2023 at 8:45 pm
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the program, which already includes some of […]
- Silvestre Fontes Named Director of Boston Regional Officeon January 25, 2023 at 6:00 pm
The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week.John Dugan and Kevin Kelcourse, who have served as Acting Co-Regional Directors, will remain […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con February 3, 2023 at 4:23 pm
Proxy Rules and Schedules 14A/14C
- Exchange Act Forms, Section 110. Form 20-Fon January 31, 2023 at 9:00 pm
Question 112.04
- Exchange Act Forms, Section 104. Form 10-kon January 31, 2023 at 9:00 pm
Question 104.19
- Exchange Act Forms, Section 110. Form 40-Fon January 31, 2023 at 9:00 pm
Question 110.09
- Exchange Act Forms, Section 104. Form 10-Kon January 31, 2023 at 9:00 pm
Question 104.19