SEC-State Registrations
We provide full-service RIA Registration with the SEC and State Regulators.
Ongoing Compliance
We offer cost-effective consulting packages to ensure that your firm remains compliant.
Mock Examinations
Whether State or SEC registered, RIAs can expect rigorous examinations of their books and records.
CyberSecurity Compliance
New Product For RIAs Makes Cybersecurity Compliance a Breeze
SEC-State Registrations
We provide full-service RIA Registration with the SEC and State Regulators.
Ongoing Compliance
We offer cost-effective consulting packages to ensure that your firm remains compliant.
Mock Examinations
Whether State or SEC registered, RIAs can expect rigorous examinations of their books and records.
CyberSecurity Compliance
New Product For RIAs Makes Cybersecurity Compliance a Breeze
Compliance Solutions for Registered Investment Advisers
RIA Compliance Group assists newly registered and established Registered Investment Advisers in all areas of regulatory compliance. In addition to initial registration services, we provide ongoing operational and compliance support services to small and midsized registered investment advisers. We take pride in giving practical compliance advice, not theoretical concepts and legalese. Too many registered investment advisers rely on RIA compliance consulting firms that understand SEC regulations but don’t have hands-on experience with state regulators. We interact with state securities regulators on a continuous basis and are aware of the specific regulations governing your practice.
The SEC and most states require each registered investment adviser to review its policies and procedures annually to determine the adequacy and effectiveness of their implementation. RIA Compliance Group offers on-site and off-site examination services that assist investment advisers in meeting their annual review requirement and provides an analysis of the adviser’s readiness for a full regulatory exam from either the SEC or the States.
Our RIA compliance consulting team has over 60 years of combined securities compliance experience. We are able to assist independent and hybrid investment advisers of all levels of complexity. RIA compliance software isn’t a substitute for personalized service or human interaction. RIA Compliance Group believes in a personalized consulting experience whereby our clients have round the clock access to their consultants. All our documents are drafted in Word format to make sure our clients have full control and complete ownership of their documents.
RIA Compliance Group offers competitive pricing for all consulting services. Our mission is to provide practical and no-nonsense advice that helps you avoid compliance problems before they occur. We’re available at your convenience, not ours, to handle all of your compliance needs. Call or submit an inquiry today!
RIA COMPLIANCE GROUP BLOG
SEC NEWS
SEC NEWS
- 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 […]
- SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failureson April 3, 2024 at 6:33 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con April 18, 2024 at 2:33 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