SEC Compliance Lawyer

My RIA Lawyer protects RIAs from expensive penalties with SEC compliance services.

SEC Compliance

Your primary focus in business is serving your clients while creating the lifestyle of your dreams. Thus, you spend most of your time and energy on revenue-making activities. With so much time devoted to serving your clients, you might forget about SEC compliance. While SEC compliance doesn’t generate revenue, it can protect your firm from losing money. SEC compliance is as important to your firm’s bottom line as acquiring and servicing clients.

You need a team of experts at your side to ensure SEC compliance. At My RIA Lawyer, our firm focuses exclusively on SEC compliance for Registered Investment Advisors (RIAs) and FINRA compliance for broker-dealers, including those who are dually registered and may also be licensed with the NFA and CFTC. 


With numerous service options, from our Compliance University to our ongoing compliance packages of services and the outsourced compliance department, we are here to meet your SEC compliance needs. Contact us today to find out how our SEC compliance attorneys and Compliance Officers can protect your firm.

Securities and Exchange Commission

The SEC is in existence to ensure that businesses are properly regulated in the securities markets and to also protect their investors. Most of the SEC regulations are dictated to ensure that corporate accounting practices are followed. These also deal with public disclosures and other tasks that help to protect investors against fraud and other manipulative practices.



The Securities and Exchange Commission also works as the main arbitrator and regulator of all corporate actions. Companies that issue such securities must work to ensure that they’re in compliance with all of the regulations as per the requirements or face legal action.

SEC Compliance Services

My RIA Lawyer has three options for RIAs that need help with SEC compliance. These options are:

  • Compliance University – Great for start-ups, small state-registered firms, and those looking for additional resources for their in house compliance team. This is a monthly service.
  • Ongoing monthly outsourced compliance consulting services (4 tiers) where we take the day-to-day compliance tasks off your plate and build your compliance program to grow with your firm.
  • Outsourced Compliance Department with Outsourced CCO (Diamond Package) – We take over your compliance program and give you peace of mind that your program complies with SEC and state requirements. Your outsourced CCO does everything from cleaning up your compliance program to managing your regulatory exams and vet, hiring, and training in-house compliance staff. Don’t let compliance take another minute of your time. Our outsourced compliance department solution takes away the anxiety of being your firm’s CCO.

SEC Areas of Enforcement

These are the most important areas of Security Compliance that must be enforced by the SEC:

Corporate Finance

Corporations that are listed on the reports must be in compliance when making annual reports and disclosures on a regular basis. This is a requirement of the SEC. The goal is to make the public aware of the financial condition and business practices of these companies. 

That way, investors can always make an informed decision on their transactions. SEC also works to ensure that proper accounting practices are upheld at all times. Many of the required filings and disclosures that companies file must be filed in the proper fashion to ensure that the company remains in compliance with all of the SEC requirements. They must include the following:

• Quarterly and annual financial filings
• Annual reports for shareholders
• Shareholders are to receive proxy materials prior to annual meetings
• Executive compensation disclosures

Mergers and Acquisitions

The Securities and Exchange Commission regulates issues that are related to antitrust by monitoring acquisitions and mergers by companies that report to the Securities and Exchange Commission. It’s a requirement for companies to file specific disclosures and documentation regarding such mergers and acquisitions prior to finalization. Additionally, activities are regulated to ensure that shareholders are informed properly of such decisions.


All companies will face securities laws and regulations, as this is the basic requirement of most SEC compliance requirements. All of the laws must be followed by companies that are issuing securities, regardless of the manner or the phase at which they are being offered. These are the major laws regarding securities that SEC enforces:


The Securities Act of 1933 is considered the “truth in securities” law. This is an act that regulates the disclosure and registration of all securities and also works to prohibit fraud.


Securities Exchange Act of 1934 is the act that was created by the SEC and regulates the markets by requiring exchanges, brokers, transfer agents, dealers, clearing agencies, and many other market participants to register; it also works to establish the corporate finance reports that are required.


Trust Indenture Act of 1939 regulates the sale of debentures, bonds, and notes via trust indenture.


Investment Company Act of 1940 regulates the organization of all companies whose main business is investing, reinvesting, and trading of securities and those who offer their own forms of securities to the public as well as minimizing conflicts of interest.


The Sarbanes-Oxley Act of 2002 is an act made by reforms to enhance corporate responsibility and improve financial disclosures, as well as fight accounting fraud. It created the Public Accounting Oversight Board that oversees the auditing industry.


Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 is the reformed practice that hurt the average consumer and investors by reforming the consumer protection act. It helps to regulate the trading restrictions and credit ratings and regulation of the financial products and the corporate governance and disclosure, enhancing transparency.


Jumpstart Our Business Startups Act of 2012 minimizes the regulatory requirements for small businesses when raising funds in the public capital markets.

The SEC enforces all of the disclosures and regulatory standards under these laws for securities. Compliances for companies must consider each act.

Market Regulation

The job of the SEC is to oversee major market participants, including those such as SROs like FINRA, securities firms, and exchanges. Companies operating in this fashion, especially those that perform broker-dealer duties, must take extra precautions to remain in compliance with the SEC, as the rules that regulate markets can be very challenging and complex and are in constant motion of change.

C-Suite Lawyer

FCPA, Insider Trading, and Other Illegal Activities

The SEC maintains specific offices and divisions that are dedicated to the elimination of specific illegal activities. These activities include violations of the FCPA, insider trading, and other illegal activities that are considered malicious. 


These are all taken very seriously and may have not only civil consequences but also criminal consequences. The enforcement in these areas is usually quite harsh, so it’s important that companies take great care to maintain their compliance in these areas.

Areas of SEC Compliance

At MyRia Lawyer, we represent both public and private companies in SEC compliance. Our attorneys all have senior-level expertise in this area. As highly-trained professionals, former U.S. Attorneys, Assistant U.S. Attorneys, and more, we have previously been involved with the prosecution of fraud cases in the securities division.



We maintain a deep knowledge of the regulations and laws that govern the SEC enforcement jurisdiction. Our SEC compliance lawyers offer businesses practical and efficient advice that is tailored to each individual business in regard to all matters that are subject to oversight. This also includes:

Private Placement

Assisting clients in the preparations of the private placement memoranda and the private investments in public equity or PIPEs. We help our clients maintain compliance in all aspects for obtaining registration exemptions and for conducting private equity transactions.

Registration Exemptions

In addition to private placements, we also offer registration exemptions in a variety of other conditions. We assist our clients in evaluating their options and help them to make informed decisions and remain in compliance with all of the SEC requirements.

SEC Registration and Filings

A lot of our SEC compliance practice is geared toward guiding our companies throughout the entire registration process. We assist them with all of their public filings. Whether your considering initial public offerings IPOs or you require outside counsel for maintaining compliance, we’re here to assist you every step of the way.

Corporate Finance Controls

All companies are subject to SEC requirements. They must maintain compliance on a regular basis. We assist our clients in maintaining their compliance by helping to prepare and monitor all of the regulations. We do this on a continual basis.

Marketing and Sales Practices

It’s imperative that companies be very mindful and cautious when marketing security offerings. Our SEC compliance attorneys work very closely with clients to ensure that their marketing executives and the other key stakeholders ensure compliance.

Social Media Compliance

A growing area of concern is social media compliance. This is true in both public and private companies. All of our companies are advised that public statements made online can be dangerous. We work together with them to help compose and craft public social media posts that will satisfy compliance requirements.

Insider Trading and Conflict of Interest

Although insider trading is a criminal offense, it’s lawful for corporate insiders to trade their company stock under specific circumstances. We help our clients to prepare and pre-arrange such trading plans, and we address the perception of conflict of interest and any other concerns that may potentially lead to scrutiny of the SEC.

Mergers and Acquisitions

Prior to the conductivity of mergers and acquisitions, all public companies must ensure that the deals that are proposed won’t run afoul of the federal securities and antitrust laws as well as the SEC regulations. We walk our clients through every aspect of the federal merger and acquisition compliance laws and guide our clients to the closing.

Cryptocurrency, Mobile Trading, and Other Innovations

Cryptocurrencies, mobile trading apps, initial coin offerings or ICOs, and other considerations have federal securities law implications. We work with companies helping them to establish, maintain, and manage their SEC compliance.

Common SEC Compliance Concerns

Our SEC compliance lawyers consult regularly with the company founders, board members, and executives on a broad range of concerns. We not only assist companies with the development, implementation, and management of compliance programs, but we also offer ongoing recommendations as required. This includes the analysis of the following:


  • Impact of statutory enactments and the regulatory reforms
  • Proposed security and corporate transactions
  • The requirement for SEC filings
  • Other disclosures
  • Preparation of SEC filings
  • Preparation of press releases
  • Preparation of public documentation
  • Addressing committee compliance matters
  • Addressing board compliance matters
  • Regulation Fair Disclosure Compliance
  • Selection of independent auditors
  • Dealing with audit requirements
  • Communication with SEC staff in regard to compliance issues and investigations
  • Drafting the requests for no-action letters
  • Exemptive letters as addressed to SEC staff



Elements of An Effective SEC Compliance Program

Maintaining effective SEC compliance for companies subject to federal securities laws and regulations is vital. The implementation of a custom-tailored and comprehensive program sets the stage and expectations for company-wide compliance.


It also allows the companies to demonstrate good-faith compliance efforts to the SEC when required. Based upon the guidance from the DOJ and the SEC, all of the needed elements of SEC compliance include, but aren’t limited to, the following:

Compliance Risk Assessment

The implementation of effective SEC compliance programs begins with the understanding of the specific compliance risks for the company. We conduct a confidential compliance risk assessment based upon an attorney-client privileged risk assessment that is focused on identifying the comprehensive scope of our client’s obligations to the SEC.

Senior Management Commitment To Compliance

We begin with a documented commitment to compliance from the senior management team of the company. The SEC has expectations that companies will use a top-down approach in compliance.

Code of Conduct and Compliance Policies and Procedures

It’s a requirement of companies that to adopt a Code of Conduct as well as set policies and procedures that are focused on specific SEC compliance. The documents must reflect specific risks and speak on behalf of the specific industry, financial goals, and culture.

Oversight Structure

It’s imperative that companies ensure that they have effective oversight in their SEC compliance efforts. Amongst other things, it will involve appointing a compliance officer as well as a team to ensure that the company and staff have the appropriate access and authority over pertinent areas of the operations.

Personnel Training Both Initial and Ongoing

In addition to the compliance team, all of the personnel must receive the appropriate training in relevant areas of SEC Compliance. This will include both initial as well as ongoing training. Companies must maintain documentation of completed training.

Discipline and Incentives

These are effective and necessary tools for internal SEC compliance enforcement. All companies must adopt and enforce consistent and appropriate mechanisms for discipline. They should consider incentives for personnel who meet and or exceed personal responsibilities in compliance.

Third-Party Due Diligence

Companies are subject to SEC requirements. When outsourcing business operations to a third-party vendor, they must ensure that there are no compliance risks presented by said third-party vendor. This will start with due diligence and continue with strategic negotiations and ongoing audits and enforcement.

Internal Reporting and Investigations

Companies must document internal mechanisms for workers to report concerns that are related to compliance. This should include a hotline or other method so that workers can share the information confidentially. It must be promptly investigated.

Internal Auditing and Remediation

This is fundamental to effective compliance management. Everything should be done proactively to ensure that the proper steps are taken before a company has to face SEC scrutiny. Additionally, it will help to assist clients in the development and implementation of their compliance program.

Compliance University

We recommend the RIA Compliance University for all firms, whether you are both owner and CCO or have an in-house team that needs training and ongoing support. The Compliance University contains pre-recorded webinars that go over the compliance regulations and requirements for RIAs. 



My RIA Lawyer will also provide you with resources (including forms, templates, and checklists) that you can use to ensure that you stay in compliance when creating documents. Our templates are up-to-date, which is essential for compliance.

Many people find that if they use non-attorney service providers to stay in compliance, they end up with outdated templates that no longer meet the guidelines. Then, they end up out of compliance, even when seeking outside help. 



That’s one reason why enrolling in our Compliance University program is essential to your company’s success so you can keep up to date with the changes in the industry.

For more information about our Compliance University, click here.

Compliance Consulting For Firms

If you need additional help with compliance, we recommend our compliance consulting services. You will receive one-on-one compliance consulting that covers compliance and how it affects the rest of your business. 


Along with covering documents and forms, we will advise you on social media policy to ensure that you don’t break any state or federal guidelines while utilizing compliance technology to create efficiencies. We ensure that your compliance program is robust, meets state federal regulations, and keeps you out of the grip of the regulators.

Your My RIA Lawyer compliance team will conduct annual compliance reviews and help you make necessary changes to comply with guidelines. If anything is out of compliance, the attorney will help you make changes to comply with guidelines. 


You can also add additional services, such as our SEC mock exam, a 4-stage process that will certify your compliance program and ensure your policies and procedures achieve compliance with SEC requirements. The packages also include unlimited access to our compliance team via email and telephone because we believe that we can best serve you when you aren’t spending time counting the number of billable hours you must pay. 


All of our compliance services include customized tasks and forms delivered via an automated compliance calendar that we provide via a compliance technology called Smart RIA.

Outsourced Compliance Department

We recommend our Diamond Package using our Outsourced Compliance Department. We will provide a Chief Compliance Officer to ensure that your firm follows all rules and guidelines. 

The CCO will assess the firm’s practices and find solutions to help you save time and money while following legal requirements. Benefits include outsourcing to a team of compliance officers and attorneys that are compliance nerds who focus solely on this vital area of your business. 

You can reclaim your time to focus on revenue-generating activity while your outsourced provider cleans up your program and gets you SEC exam ready.

Protect Communications With Attorney-client Privilege

When you use an SEC compliance lawyer, you will benefit from attorney-client privilege. Everything you say to your attorney is protected under the rule of law. You will not get the same protection if you use a non-attorney service provider. Instead, the provider can divulge your conversations, which could get you in trouble. Between the protection and sound legal advice, hiring an attorney from My RIA Lawyer is a wise choice.

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  • Proactive Approach – Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
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