Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

Advertising content and compliance

RIA Compliance Group understands how important advertising is in growing your business. Company advertising has become a major factor in the online and offline business world.  Being aware of the rules and regulations that must be followed can become confusing to those not regularly involved in compliance. By working with RIA advertising compliance consultants, you can make sure your advertisements follow the guidelines to be compliant with the SEC rules. We find that many clients, especially new advisers, don’t know where to begin and what disclosures are necessary. For that reason, we offer assistance in creating content and launching marketing campaigns. We can draft personalized and compliant content for use in:

  • Websites
  • Newsletters
  • Presentations
  • Seminars
  • Blogs
  • Brochures
  • Radio and television ads
  • Marketing letters

We have also helped clients with marketing campaigns using social media.

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 […]

DIVISION OF INVESTMENT MANAGEMENT NEWS