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 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 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. 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!
Follow these industry links to useful government resources and regulatory resources to stay up to date with the latest news in the industry and to find all of the information you may be looking for from government and regulatory bodies like NASAA, FINRA, NFA, SEC and many more. Contact us about consulting in order to learn how your company can remain compliant with all of the rules and regulations you must follow.
Government Resources
» Commodity Futures Trading Commission
» Financial Crimes Enforcement Network
» Securities and Exchange Commission (SEC)
» The Federal Reserve
Regulatory Resources
» North American Securities Administrators Association (NASAA)
» Financial Industry Regulatory Authority (FINRA)
» National Futures Association (NFA)
» Investment Adviser Registration Depository
» IARD – Log In
» Web CRD – Log In
Industry Resources
» New York Stock Exchange
» NASDAQ
» The Association of Certified Anti-Money Laundering Specialists® (ACAMS®)
» National Association of Investment Professionals
» National Society of Compliance Professionals
» Public Company Accounting Oversight Board (PCAOB)
» PCAOB Registered Accounting Firms
Industry Publications
» CPA Wealth Planner
» Investment Advisor Magazine
» Institutional Investor
» Investment News
» RIA Biz
» Registered Rep Magazine
Business Resources
» TD AMERITRADE Institutional
» Schwab Institutional
» Fidelity Institutional Wealth Services
» Shareholders Service Group (SSG)
» Trade-PMR
» Cornerstone Revolutions
Website Design & Hosting
GIPS Verification and Investment Performance Attestation
SEC NEWS
SEC NEWS
- SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investingon April 25, 2024 at 6:17 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity […]
- 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. […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con May 1, 2024 at 1:23 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