Considering your own RIA. Download our whitepaper as a guide to help you start the planning process. We are ready to help! Contact us to assist for an initial planning consultation.
An RIA's Chief Compliance Officer is required to enforce a compliance program that is effectively designed to prevent, detect and correct violations of the securities laws.
AdvisorAssist keeps you current with regulatory news, rule changes and regulatory actions. Below are some of the sources we follow for you.
The latest press releases, speeches and announcements from the U.S. Securities and Exchange Commission.
SEC Enforcement includes trading suspensions, litigation releases and administrative proceedings.
News from the North American Securities Administrators Association, the voice of state securities regulators.