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.

Learn More »

Annual Compliance Review

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

Learn More »

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.

Learn More »

Events

NSCP National Conference 2020
Oct 19
NSCP National Conference 2020
October 19, 2020

October 19-21, 2020 – Baltimore, MD Read More »

All Events »

Compliance Blog


Compliant Advertising: Breaking it Down – Part 3: Past Specific Recommendations
Compliant Advertising: Breaking it Down – Part 3: Past Specific Recommendations

November 27, 2019

Review of Part 1: The Foundation In the first article of this series, we discussed the foundational information you need to know to ensure your marketing and advertising materials are in compliance with the SEC’s rules and regulations.  We helped you clearly understand: the SEC’s definition of an “advertisement.” What is considered an advertisement, whatRead More »

SEC Proxy Voting Guidance
SEC Proxy Voting Guidance

November 27, 2019

After years of research, OCIE exam findings, and roundtable discussions, the SEC has issued guidance on proxy voting in the form of a Question and Response (“Q&R”). You can find the Q&R guidance here. The responsibilities of proxy voting can be an administrative burden for investment advisors, which is why many have chosen a third-partyRead More »