SEC Compliance Solutions

We Help Streamline Your RIA Compliance Program

SEC Compliance Solutions helps new investment advisers, established RIAs, and private fund advisers streamline their compliance program. The SEC makes the rules; we make it easy for RIAs to apply them.

Meet the Team

Services

New Adviser Setup

Build a compliant foundation. Get accurately registered, educated on the rules specific to your business, and achieve practical and fully compliant policies and procedures.

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Annual Compliance Review

Simplify SEC compliance. Embrace simplified policies, streamlined procedures, minimized risk of oversights, and an organized and methodical annual review.

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Mock SEC Exam

Comply with confidence. Reveal potential areas for improvement; receive the necessary education and resources to strengthen them; and prepare your employees for interacting with SEC staff.

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Events

NSCP National Conference 2022
Oct 17
NSCP National Conference 2022
October 17, 2022

October 17-19, 2022 – National Harbor, MD Read More »

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Compliance Blog


Compliant Advertising –  Breaking It Down (Again) Part 3: Testimonials and Endorsements
Compliant Advertising – Breaking It Down (Again) Part 3: Testimonials and Endorsements

August 31, 2021

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM CEO & Lead Consultant This is the third article in our series to breakdown the updated Marketing Rule.  If you have not been following us, we highly suggest you start with the first in our series, The Definition of an Advertisement, where we summarized the amended Marketing Rule’s definitionsRead More »

Form D and Blue Sky Filings
Form D and Blue Sky Filings

August 05, 2021

Main Contributor: Zachary Fenno, CSCP, Compliance Manager Introduction Private fund advisors have unique filing requirements, such as Form D, and Blue Sky Filings. In this article we are going to explain the two filings and the two exemptions commonly used by private fund advisors. Purpose of Form D and Blue Sky The Form D providesRead More »