ACN COMPLIANCE CENTER

ACN's goal is to provide software products and systems consulting services to investment firms and industry professionals and many of the issues we deal with are "compliance" related.  We are not lawyers offering a safe harbor in fulfilling your compliance requirements under the SEC, State authorities or SRO regulatory bodies. We do offer over 60 years of actual investment advisory experience as principals and compliance officers and will assist you in your compliance needs.

This page is designed as a "compliance resource" for investment firms in the form of links to regulatory websites, compliance firms who provide compliance services and from time to time post compliance articles directed to the investment community.  If you wish to offer an article or website please contact us with your suggestions.

Compliance Consulting Services
Visit the Registrations and Startup Page

Compliance Resources:

Compliance Information

IAWeek - compliance practices, products, services and articles
Institutional Investor Inc. - Investment Compliance Journals
InvestmentAdvisor.com - industry articles
Wall Street Technology - compliance article
BDWeek - B/D compliance & continuing education

Regulatory Agencies

EDGAR -  Electronic Data Gathering, Analysis / Retrieval System
IARD - Investment Advisor Registration Depository
MSRB - Municipal Securities Rulemaking Board
NASD - National Association of Securities Dealers
NASAA - North American Securities Administrators Assn.
NSCC - National Securities Clearing Corp.
SEC - Securities and Exchange Commission

Law Firms

Baer Marks & Upham LLP, New York, NY
Baker & Hostetler, Cleveland, OH
Blackwell Sanders Peper Martin LLP -   Kansas City, MO
Buckingham, Doolittle & Burroughs
Calfee Halter & Griswald, Cleveland, OH
Dechert Price & Rhoads - Washington, DC
Gallagher & Kennedy - Phoenix, AZ
Goodwin Procter LLP - Boston, MA
Greenberg Traurig LLP - Miami, FL
Hamburger Law Firm - Englewood, NJ
Law Offices of Burns & Kashani, PC
Meyer Capel, Champaign, IL
Mintz, Levin, Cohn, Ferris, Glovsky & Popep, PC, Boston, MA
Morgan, Lewis & Bockius LLP, Washington, DC
Pro-Group International Inc. - Austin, TX
Schulte Roth & Zabel LLP, New York, NY
Seward & Kissel LLP, New York, NY
Shartsis, Friese & Ginsburg LLP, San Francisco, CA
Stark & Stark, P.C., Lawrenceville, NJ
Stradley, Ronon, Stevens & Young, Philadelphia, PA

Securities Regulation

Investment Advisers Act of 1940 - Investment Advisors
Investment Company Act of 1940 - Mutual Funds
Public Utility Holding Company Act of 1935
Securities Act of 1933
Securities Exchange Act of 1934
Trust Indenture Act of 1939

Securities Exchanges and Associations

American Stock Exchange
Boston Stock Exchange
Chicago Board Options Exchange
Chicago Stock Exchange
International Securities Exchange
Nasdaq Stock Market, Inc.
New York Stock Exchange
Pacific Exchange
Philadelphia Stock Exchange