FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C.…
Read MoreDecember 17 Marks Final Deadline For Midsize Advisers to Make the “Switch”
The SEC is warning midsize advisers that they have until December 17…
Read MoreAdvisers Must File Form ADV By February 14
As part of the implementation of the Dodd-Frank Act, all investment advisers…
Read MoreSEC to Hold Adviser Compliance Seminar Tomorrow
The Securities and Exchange Commission will hold a national seminar to help…
Read MoreClient Alert: Final Renewal Statements Now Online
As of January 3, 2012, online Final Renewal Statements for investment adviser…
Read MoreClient Alert: Preliminary Renewal Statements Due December 12
Your firm’s Preliminary Renewal Statements are available online on FINRA’s Web CRD/IARD. …
Read MoreClient Alert: Performance Fees Standard Heightened
New Qualified Client Standards Take Effect on September 19 The Investment Advisers…
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