SEC Examination Readiness Lawyer

Providing Peace of Mind to Registered Investment Advisors Nationwide

Do You Need Help With An SEC Examination? My RIA Lawyer Has The ULTIMATE No Holds Barred EXAMINATION READINESS Program.

Are you worried about what an examiner will find? Have you been cited for deficiencies in the past and are worried you haven’t made all the necessary changes to your compliance program? Do you want to make sure you are ready for your first examination?

Do you even know what could happen if you fail your examination and end up fined, or worse, with an SEC Enforcement action on your plate?

An examination by your state’s securities division or the SEC is no joke, so you need to make sure you find the right provider to get you ready for one.

If you want to enter into your next examination with confidence, be able to show those examiners what a ROCKSTAR you are, and get the most out of every single dollar you invest in your business, then you need My RIA Lawyer!

Our Process

Off-Site Review

As the SEC would do, we request a series of documents based on the most current requests coming from SEC examiners.

Off-site Exam Report

You then get a written summary of the findings as well as a recommended schedule for remediation of deficiencies. We also categorize deficiencies by risk level so that you can tackle the biggest issues first.

Onsite Mock SEC Exam

Our compliance professionals visit your firm’s offices and conduct a live mock SEC Exam through a series of exercises and interviews of the firm’s staff and personnel. We conduct live testing of your firm’s client files, email retention, books, and records storage and more.

Remediation

We work with your senior management and compliance team or compliance consultant to ensure proper execution of remediation tasks.

What does this mean? You get to go golfing on a beautiful sunny day while a LAW FIRM takes care of cleaning up your compliance program and making sure the regulators don’t find anything to fine you.

Ask A Question
Describe Your Situation
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Call (770) 870-1765 or fill out the short form below. We will usually respond within 1 business day but often do so the same day. Don’t hesitate, your questions are welcome.

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Why Choose My RIA Lawyer For SEC Examination Readiness?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood.
  • Undergoing our Mock SEC Examination – Will help your CCO, compliance staff, and the rest of your firm understand how information will be scrutinized and examined, and reveal how each employee’s day-to-day responsibilities contribute to the firm’s overall compliance culture.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • 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.
  • Our Vision – My RIA Lawyer Wants to See Advisors fulfilling their purpose without the Worry of Compliance Tasks.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5- Star average review rating on Google. See some of our client reviews below.

Do You Need Help With
SEC Mock Exam -
SEC Examination Readiness

Client Reviews– My RIA Lawyer – SEC Mock Exam

Actual Words Clients Have Used to Describe Us & Their Experience:

“absolutely amazing”, “expert with compliance”, “gets results”, “genuinely care”, “extremely professional & organized”, “demonstrated expert knowledge” ,” personable staff “, “setting us up for success” “very happy with their services and professionalism”, “very responsive, communicative, and extremely knowledgeable”, “highly recommend their services”, “offers a wealth of knowledge as a business owner”, “conducts herself very professionally”, “recommend her services without reservation”, “jumped in to resolve the issues”, “provided expert legal advice”, “invaluable resource”, “look forward to working together again”, “advice was helpful and thorough”, “work is top notch”, “excellent to work with, very knowledgeable and detail oriented”, “excellent, capable”

Do You Need Help With
SEC Mock Exam -
SEC Examination Readiness

Video Answers

Compliance Consulting Service

Mock SEC Exam Service

Compliance Bootcamp

What To Do Now:

Get the peace of mind that consistent readiness our SEC Mock Exam and certification service provides you and your firm. Why risk fines (or worse) by not consulting an attorney in time. As they say, “an ounce of prevention is worth a pound of cure”. Call us for one-on-one assistance at (770) 870-1765 with your questions, a description of your goals and/or to schedule a consultation. You may also simply fill out the form above on this page. Your form will be directly emailed to our office. You can expect a reply within 1 business day and often within hours the same day. All information is confidential.