RIA In A Box Provides Free February 7 Webinar on SEC to State Transition Challenges and Requirements
January 25, 2012 07:00 ET
|
RIA In A Box
NEW YORK, NY--(Marketwire - Jan 25, 2012) - RIA In A Box (www.RIAinaBox.com), a compliance consulting business aimed exclusively at registered investment advisory firms, will host a free webinar...
Lexington Compliance Launches Monthly Compliance Webinars With Live Q & A Hosted by Former Top State Regulator
January 19, 2011 07:00 ET
|
RIA In A Box
NEW YORK, NY--(Marketwire - January 19, 2011) - Lexington Compliance (www.lexcompliance.com), the compliance and oversight arm of RIA In A Box , today announces it is offering monthly compliance...
RIA In A Box Partners With Lloyds of London and North American Professional Liability Insurance Agency (NAPLIA) to Provide the First-Ever Group E&O Insurance Program for RIAs
October 18, 2010 06:00 ET
|
RIA In A Box
NEW YORK, NY--(Marketwire - October 18, 2010) - RIA In A Box (www.RIAinaBox.com), a consulting business aimed exclusively at efficient creation of registered investment advisory firms, today announces...
SEC Rules for New RIA ADV Part 2 Require Creation of Plain English Brochure to Disclose Background and Business Practices
August 02, 2010 11:58 ET
|
RIA In A Box
NEW YORK, NY--(Marketwire - August 2, 2010) - The SEC has adopted new rules (http://www.sec.gov/rules/final/2010/ia-3060.pdf ) that significantly impact all SEC registered RIAs. These new rules...
Thousands of RIAs Need to Prepare for Shift From SEC to State Oversight Under New Financial Reform Bill Rules
June 29, 2010 05:00 ET
|
RIA In A Box
NEW YORK, NY--(Marketwire - June 29, 2010) - The financial reform bill which passed through the House-Senate conference committee Friday will require that 4200 RIAs now registered with the SEC shift...