Welcome to D.E. Scott & Associates, LLC

D.E. Scott & Associates is a regulatory consulting practice specializing in SEC compliance requirements facing registered investment advisers.  Our senior team members are seasoned veterans with an average of 20 years in the industry.  The team brings significant regulatory and business experience to each engagement, including several years of cumulative service as SEC Examiners and substantial experience serving in internal roles for a variety of premier financial institutions.

Balanced Experience:  With our unique combination of regulatory and industry experiences, we provide a comprehensive and balanced approach to each client engagement.

CURRENT NEWS & EVENTS

DE Scott Hosts “Critical Considerations for Adviser Compliance Programs” Conference Call on Thursday, March 27th at 2:00 PM EDT. (click here for registration)

SEC Proposes ‘Plain English” Version of Part II of Form ADV

SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors

SEC Proposes to Clarify Situations Where Brokers Must Register as Advisers

Commission Issues Temporary Rule Regarding Brokerage Accounts which Convert to Advisory Accounts