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
- Kristin Snyder, Deputy Director of Division of Examinations, to Leave SECon January 27, 2022 at 10:20 pm
The Securities and Exchange Commission today announced that Kristin Snyder, Deputy Director of the Division of Examinations (EXAMS), is leaving the agency at the end of this month after more than 18 years of service. Joy Thompson has been named […]
- LizAnn Eisen Joins Division of Corporation Finance as Deputy Director, Disclosure Programon January 27, 2022 at 8:00 pm
The Securities and Exchange Commission today announced that LizAnn Eisen has been named Deputy Director, Disclosure Program, for the Division of Corporation Finance. In this role, she will ensure the effectiveness of the division's review of […]
- SEC Reopens Comment Period for Pay Versus Performanceon January 27, 2022 at 4:59 pm
The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the […]
- SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATSon 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 Reportingon 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 […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Sample Letter to China-Based Companieson December 20, 2021 at 9:40 pm
Other Staff Guidance and Sample Comment Letters
- DoubleLine ETF Truston December 20, 2021 at 9:40 pm
Response of the Office of Mergers and Acquisitions
- Announcement Regarding Personally Identifiable and Other Sensitive Information in Rule 14a-8 Submissions and Related Materialsson December 17, 2021 at 5:00 pm
Announcement Regarding Personally Identifiable and Other Sensitive Information in Rule 14a-8 Submissions and Related Materials
- Announcement Regarding Staff Responses to Rule 14a-8 No-Action Requestson December 13, 2021 at 5:00 pm
Announcement Regarding Staff Responses to Rule 14a-8 No-Action Requests
- Lloyds Banking Group plcon November 12, 2021 at 6:20 pm
Response of the Office of Mergers and Acquisitions