Upcoming Webinars

2018 SEC Enforcement Report

How to Prepare for an SEC RIA Regulatory Audit, November 28, 2018 at 12:00 PM EST

Join RIA in a Box for a jam-packed 30 minute webinar on how to prepare for an RIA regulatory examination. This webinar is relevant to both state and SEC-registered firms and will include topics such as: how to establish an effective compliance program that can be demonstrated during an exam, the key components of an exam, and the possible outcomes of such an exam. With RIA audit frequency increasing at both the state and federal levels, this is a session you won't want to miss.

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RIA Regulatory Considerations when Transitioning from State to SEC Registration, December 12, 2018 at 12:00 PM EST

RIA firms are generally able to transition from state to federal registration once the firm reaches $100 million in regulatory assets under management and are generally required to transition to federal registration once the firm reaches $110 million in regulatory assets under management. Firm growth is always exciting, but what does this change mean for your firm's compliance program? In this 30-minute webinar, we'll discuss some of the differences between state and SEC regulations and the potential impact on your firm's compliance program. In addition, we'll highlight some additional filing requirements to which your firm may find itself subject to for the first time once reaching federal registration.

To schedule a member of the RIA in a Box team to speak at an investment adviser industry event, click here.