Mock SEC and State examinations
Whether state or SEC registered, RIAs can expect rigorous examinations of their books and records. In some cases, examinations may be prompted by a tip or complaint. As a result, the experience may be much more adversarial than has been the case in the past.
In many instances, firms will only have a few days to prepare for an in-depth examination. RIAs may be required to supply hundreds of documents with short notice.
With so much at stake, RIAs need not go it alone. RIA Compliance Group can assist you in preparing for the most difficult exam. Our mock audits alert you to potential compliance problems before an examiner gives you the bad news in person. Make sure you’re ready for these unexpected examinations by taking part in our well thought out mock SEC and State examinations. Once you’re comfortable with your readiness at the mock exam level, you will be ready and more confident once a real SEC and State examination. Contact us to learn more about our mock exams and how we can help prepare you for the future.
SEC NEWS
SEC NEWS
- SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Schemeon July 10, 2025 at 9:33 pm
The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…
- SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation Aon July 7, 2025 at 1:57 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the […]
- SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companieson June 26, 2025 at 3:00 pm
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide […]
- SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirementon June 25, 2025 at 9:45 pm
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require […]
- SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026on June 25, 2025 at 5:44 pm
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con July 20, 2025 at 8:15 am
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents