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Registration

16 Apr 2011

Delay in Transition to State Registration?

by Scott | posted in: Registration & Licensing | 0

The SEC is contemplating delaying the “forced” transition from SEC to State registration for investment advisers with less than $100 million in assets under management until Q1 2012. Originally slated for later this year, apparently the IARD system is ill-equiped … Continued

Registration
1 Nov 2010

Compliance Alert! SEC Transition Rules

by Scott | posted in: Alert!, Registration & Licensing | 0

Dear Compliance Professional, This past Friday (November 19th), the SEC proposed new rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). This brief Compliance Alert addresses one aspect of those proposed rule changes … Continued

Dodd Frank, Registration, SEC
21 Jul 2010

Compliance Alert! New Regulatory Initiatives

by Scott | posted in: Alert!, Brochure & Brochure Supplements | 0

Dear Compliance Professional, Big doings are certainly afoot in the regulatory world. Did I say big? These “doings” are of gargantuan proportions – earth shattering, paradigm shifting, game changing doings that will affect every financial services firm including all SEC … Continued

ADV Part 2A, Dodd Frank, Registration

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