sca provides sec and finra regulatory compliance consulting services to investment advisers, broker dealers and private funds
Keywords to Search:
investment adviser compliance consulting,investment adviser compliance,investment adviser registration,hedge fund registration,hedge fund manager registration, hedge fund compliance,anti-money laundering compliance,aml audits,broker dealer compliance,broker dealer consulting,broker dealer registration,private fund registration,private fund compliance,private equity funds,sec compliance,finra compliance,adv 2, adv ii, new adv 2, new adv ii
Company Address:
,SANTA FE,NM,USA
ZIP Code: Postal Code:
87508 0000
Telephone Number:
5054663555 (+1-505-466-3555)
Fax Number:
5054663555 (+1-505-466-3555)
Website:
www. secadvisors. com
Email:
USA SIC Code(Standard Industrial Classification Code):
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SEC. gov | Newsroom The Office of Public Affairs maintains SEC gov and the agency's intranet with the ultimate goal of keeping the SEC transparent, relatable, and accountable to taxpayers and employees alike
Division of Trading and Markets - SEC. gov The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), securities-based swap dealers, and transfer agents
SEC. gov | Statutes and Regulations This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public
Press Releases - SEC. gov Official announcements highlighting recent actions taken by the SEC and other newsworthy information To view Press Releases prior to 2012, view the Press Release Archive
SEC. gov | Home Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow
SEC. gov | About The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation
SEC. gov | Division of Enforcement Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets
SEC. gov | Two Robinhood Broker-Dealers to Pay $45 Million in Combined . . . The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations
Statement on Extension of Compliance Dates for Securities Lending . . . See Prior Securities Lending Exemptive Order at 5-6 Nevertheless, today we are delaying the realization of the Rules’ benefits yet again, and we are possibly embarking down a path to further diminish those benefits by amending the Rules before their anticipated benefits are ever realized