Blog Detail
Navigating the Regulatory Maze
http://www.ria-compliance-consultants.com/the…
RIA Compliance Consultants provides registration and renewal services, mock exams, document reviews, compliance program assessments, and more. RCC collaborates with investment advisors to identify regulatory and risk management challenges. We then work with them to build and implement practical solutions that protect their clients while meeting their regulatory responsibilities.
- Added on: Sep 19th, 2007
- Country: United States
- Language: English
- Author: Annie Dilocker
- Listed in: Law & Legal Investing
- Tags: sec compliance registration investment advisor investment adviser series 65
Recent Posts
House Financial Services Committee Advances Investor Protection Act
Here's our update regarding proposed changes to the regulation of investment advisers.The Financial Services Committee of the U.S. House of Representatives advanced H.R. 3817, the Investor Protection Act, out of committee yesterday. According to the ...
2010 IARD Renewal & Form ADV Annual Amendment Requirements
Beginning Monday, November 16, 2009, registered investment advisor firms can access their 2010 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 11, 2009. Because it ta...
Deadline Approaching for Investment Advisers to Complete the New Form U4 Regarding Regulatory Actions
Registered investment adviser firms must file amended Form U4s for all their investment adviser representatives to provide answers to the new regulatory action disclosure questions. The North American Securities Administrators Association ("NASAA") h...
House Financial Services Committee Votes to Raise Assets Under Management for SEC Registration as Investment Adviser from $25 Million to $100 Million
Investment News is reporting that the Financial Services Committee of the U.S. House of Representatives passed today an amendment to the Investor Protection Act, H.R. 3817, whereby the general assets under management requirement to register with the ...
Private Investment Advisers Registration Act is Passed by House Committee on Financial Services
The Financial Services Committee of the U.S. House of Representatives passed H.R. 3818, the Private Fund Investment Advisers Registration Act, which requires advisers to private funds to register with the U.S. Securities and Exchange Commission ("SEC...
Upcoming Webinar: Supervising Gifts & Political Contributions of Investment Adviser Representatives
Although the U.S. Securities and Exchange Commission (“SEC”) does not currently have any specific rules associated with the giving or receiving gifts or political contributions by representatives affiliated with a federally registered investment ...
