RIA Compliance Consultants
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(877) 345-4034

Investment Adviser Compliance Webinars

Keep abreast of new investment adviser regulatory developments by the U.S. Securities and Exchange Commission (“SEC”) and state securities regulators by participating in the investment adviser compliance webinars hosted monthly by RIA Compliance Consultants. Our investment adviser compliance webinars are designed to educate and train participants on the fundamentals of investment adviser compliance and the latest SEC and state securities regulator’s investment adviser rules, enforcement proceedings and no-action letters.  RIA Compliance Consultants’ webinar presenters will attempt to provide examples of best compliance practices and practical solutions designed to meet an investment adviser’s compliance obligations.

Calendar of Our Upcoming Webinars

Webinar

 

Date

  Cost        

Professional Ethics for Investment Adviser Reps

 

March 11, 2010

  $59.95   Get More Information on Webinar   Register Now

The Process and Challeges of Registering as an Investment Advisor

 

March 17, 2010

  FREE   Get More Information on Webinar   Register Now

Impact of New Custody Rule on an RIA Operating a B-D, Qualified Custodian or Private Fund

 

March 25, 2010

  $59.95   Get More Information on Webinar   Register Now

Beyond Privacy Notice

 

April 8, 2010

  $59.95   Get More Information on Webinar   Register Now

Approving Marketing Materials

 

May 13, 2010

  $59.95   Get More Information on Webinar   Register Now

Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Standard Time (“CST”) on the topics and dates listed above.

Fee: Depending upon the compliance topic, the webinar may be offered upon a fee or complimentary basis. For a webinar subject to a charge by RIA Compliance Consultants, the fee is $59.95 per session.

Technical Requirements:  In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® 2000, XP Home, XP Pro, 2003 Server, or Vista. Macintosh®-based attendees will need Mac OS®.

Continuing Education Credits: Certain webinar sessions will be eligible for continuing education credits of certain professional organizations. Please review the description of the webinar session or contact RIA Compliance Consultants at 877-345-4034 for more details.

Call RIA Compliance Consultants at 877-345-4034 to register for our investment adviser compliance webinar.

*This is a complimentary webinar that will be presented by our affiliated law firm. Although RIA Compliance Consultants is affiliated with a law firm, RIA Compliance Consultants is not a law firm and does not provide legal services. Please note that a compliance consulting relationship with RIA Compliance Consultants is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

 

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* RIA Compliance Consultants, Inc. (“RCC”) is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

Home
About RIA Compliance Consultants, Inc.
Our Services
   Investment Advisor Registration Service
  Annual Compliance for New IA
  Code of Ethics
  Customized Compliance Program
  13D, 13G & 13F Filings
Compliance Tips
  Tips for Registering as a State Investment Advisor
  Form ADV Background
  Form ADV Drafting Tips
  SEC Exam Tips
Compliance Webinars
Frequently Asked Questions
   Investment Advisor Registration FAQs
  Series 65 Examination FAQs
  Solicitor Referral Arrangements FAQs
  Form 13F, Schedule 13D & Schedule 13G FAQs
  Schedule H FAQs
  Written Supervisory Procedures
  Codes of Ethics
  Insurance Agents as IAs FAQs
Published Articles
Blog
Contact RIA Compliance Consultants, Inc.
Online Invoice Payments
Newsletter
Speaker Request
Investment Advisor Resources
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Link to RIA Compliance Consultants, Inc.