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.

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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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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 1: The Definition  of an Advertisement
Compliant Advertising – Breaking It Down (Again) Part 1: The Definition of an Advertisement

March 01, 2021

Background The SEC proposed and adopted the new Marketing Rule, (the “Rule”) which will eventually replace the current Advertising Rule (Rule 206(4)-1, originally adopted in 1961) and the Solicitation Rule (Rule 206(4)-3, originally adopted in 1979). The Rule is a complete rewrite of the existing Advertising and Solicitation Rules, implementing a “principles based” approach toRead More »

SEC Risk Alert Large Trader Obligations (Form 13H)
SEC Risk Alert Large Trader Obligations (Form 13H)

January 26, 2021

On December 16, 2020 the SEC released a risk alert addressing observations from examinations for adviser’s compliance with Rule 13h-1, also known as the Large Trader Rule.. This article will cover investment advisers’ obligations under Rule 13h-1 and helpful guidance to make it easier. What is Rule 13h-1? Rule 13h-1 of the Securities and ExchangeRead More »