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 Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund...on May 9, 2022 at 3:00 pm
The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it […]
- SEC Halts Fraudulent Cryptomining and Trading Schemeon May 6, 2022 at 3:45 pm
The Securities and Exchange Commission today announced fraud charges against MCC International Corp. (MCC), which does business as Mining Capital Coin Corp., its founders Luiz Carlos Capuci, Jr. (aka Junior Caputti or Capuci) and Emerson Souza Pires […]
- SEC Issues Nearly $3.5 Million Award to Four Whistleblowerson May 6, 2022 at 2:30 pm
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action.Three joint whistleblowers provided Commission staff with […]
- SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptominingon May 6, 2022 at 1:00 pm
The Securities and Exchange Commission today announced settled charges against technology company NVIDIA Corporation for inadequate disclosures concerning the impact of cryptomining on the company’s gaming business.The SEC’s order finds that, […]
- SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Uniton May 3, 2022 at 9:00 am
The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for protecting investors in crypto markets and from cyber-related threats. The newly renamed Crypto Assets and Cyber Unit […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- IndexIQ Active ETF Truston May 11, 2022 at 4:25 pm
Response of the Office of Mergers and Acquisitions
- Imperial Oil Ltd.on May 4, 2022 at 8:10 pm
Response of the Office of Mergers and Acquisitions
- Sample Letter to Companies Regarding Disclosures Pertaining to Russia's Invasion of Ukraine and Related Supply Chain Issueson May 3, 2022 at 9:15 pm
Other Staff Guidance and Sample Comment Letters
- BTIG, LLCon May 2, 2022 at 5:45 pm
Regulation D - Rule 506(d) Waivers of Disqualification
- Principal ETFson April 11, 2022 at 10:25 pm
Response of the Office of Mergers and Acquisitions