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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
SEC NEWS
SEC NEWS
- SEC Staff Publishes New Registered Fund Statistics Reporton April 24, 2024 at 2:03 pm
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. The new report, which will be updated on a quarterly […]
- SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Managementon April 17, 2024 at 6:45 pm
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a […]
- SEC Issues Second Fee Rate Advisory for Fiscal Year 2024on April 17, 2024 at 2:30 pm
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue […]
- SEC Charges Five Investment Advisers for Marketing Rule Violationson April 12, 2024 at 1:00 pm
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. […]
- Register for the SEC’s 43rd Annual Small Business Forum April 16-18on April 4, 2024 at 8:00 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con April 24, 2024 at 8:39 pm
Proxy Rules and Schedules 14A/14C
- MorphoSys AGon April 11, 2024 at 4:00 pm
Response of the Office of Mergers and Acquisitions
- Senvest Management, LLCon April 3, 2024 at 11:05 pm
Waiver of disqualification pursuant to Rule 506(d)(2)(ii) of Regulation D
- Compagnie Maritime Belge NVon February 9, 2024 at 3:50 pm
Response of the Office of Mergers and Acquisitions
- Aon plcon January 25, 2024 at 4:05 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933