FINRA Annual Conference to Address Compliance Concerns

FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C.…

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December 17 Marks Final Deadline For Midsize Advisers to Make the “Switch”

The SEC is warning midsize advisers that they have until December 17…

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Advisers Must File Form ADV By February 14

As part of the implementation of the Dodd-Frank Act, all investment advisers…

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SEC to Hold Adviser Compliance Seminar Tomorrow

The Securities and Exchange Commission will hold a national seminar to help…

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Client Alert: Final Renewal Statements Now Online

As of January 3, 2012, online Final Renewal Statements for investment adviser…

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Client Alert: Preliminary Renewal Statements Due December 12

Your firm’s Preliminary Renewal Statements are available online on FINRA’s Web CRD/IARD. …

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Client Alert: Performance Fees Standard Heightened

New Qualified Client Standards Take Effect on September 19 The Investment Advisers…

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