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28 05, 2021

Delivery of Form ADV
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Delivery of Form ADV
Registered Investment Advisers, Rules and Regulations, SEC

Delivery of Form ADV

By admin|2021-05-28T10:38:41-04:00May 28, 2021|Registered Investment Advisers, Rules and Regulations, SEC|

Determining if delivery of Form ADV is required for each [...]

26 05, 2021

Electronic Delivery for Investment Advisers
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Electronic Delivery for Investment Advisers
Filing Requirements, Registered Investment Advisers, Rules and Regulations, SEC

Electronic Delivery for Investment Advisers

By admin|2021-05-26T11:19:10-04:00May 26, 2021|Filing Requirements, Registered Investment Advisers, Rules and Regulations, SEC|

For advisers to utilize electronic delivery for regulatory documents such [...]

24 05, 2021

How to Qualify for Puerto Rico’s Act 20
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How to Qualify for Puerto Rico’s Act 20
Broker-Dealer, Registered Investment Advisers, Safe Harbor

How to Qualify for Puerto Rico’s Act 20

By admin|2021-05-24T10:14:22-04:00May 24, 2021|Broker-Dealer, Registered Investment Advisers, Safe Harbor|

Act 20, known as the “Export Services Act”, provides tax [...]

21 05, 2021

Form ADV-E
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Form ADV-E
Examinations, Registered Investment Advisers, Risk Alerts, Rules and Regulations, SEC

Form ADV-E

By admin|2021-05-21T09:42:15-04:00May 21, 2021|Examinations, Registered Investment Advisers, Risk Alerts, Rules and Regulations, SEC|

Investment advisers that have custody of client funds or securities [...]

19 05, 2021

Act 20: Puerto Rico Tax Incentives
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Act 20: Puerto Rico Tax Incentives
Broker-Dealer, Registered Investment Advisers

Act 20: Puerto Rico Tax Incentives

By admin|2021-05-19T13:24:29-04:00May 19, 2021|Broker-Dealer, Registered Investment Advisers|

In January of 2012, Puerto Rico passed legislation making it [...]

17 05, 2021

Rule 13(f)
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Rule 13(f)
Broker-Dealer, Filing Requirements, Rules and Regulations, SEC

Rule 13(f)

By admin|2021-05-17T11:32:13-04:00May 17, 2021|Broker-Dealer, Filing Requirements, Rules and Regulations, SEC|

Institutional investment managers (“Managers”) must use Form 13F for reports [...]

14 05, 2021

Form ADV Part 3 Items
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Form ADV Part 3 Items
Form CRS, Registered Investment Advisers, Rules and Regulations, SEC, SEC Registration, State Registration

Form ADV Part 3 Items

By admin|2021-05-14T10:26:01-04:00May 14, 2021|Form CRS, Registered Investment Advisers, Rules and Regulations, SEC, SEC Registration, State Registration|

Under rule 17a-14 under the Securities Exchange Act of 1934 [...]

12 05, 2021

Share Class Selection
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Share Class Selection
Registered Investment Advisers, SEC Registration, State Registration, Suitability, Supervision

Share Class Selection

By admin|2021-05-12T11:05:55-04:00May 12, 2021|Registered Investment Advisers, SEC Registration, State Registration, Suitability, Supervision|

Advisers have a fiduciary obligation to recommend a share class [...]

10 05, 2021

Requirements for State Registered Advisers
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Requirements for State Registered Advisers
NASAA, Registered Investment Advisers, Rules and Regulations, State Registration

Requirements for State Registered Advisers

By admin|2021-05-10T10:37:48-04:00May 10, 2021|NASAA, Registered Investment Advisers, Rules and Regulations, State Registration|

Also, State registered advisers should review and verify compliance with [...]

7 05, 2021

Form ADV Part 3: Relationship Summary
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Form ADV Part 3: Relationship Summary
Broker-Dealer, Registered Investment Advisers, Rules and Regulations, SEC

Form ADV Part 3: Relationship Summary

By admin|2021-05-07T13:46:34-04:00May 7, 2021|Broker-Dealer, Registered Investment Advisers, Rules and Regulations, SEC|

Under rule 17a-14 under the Securities Exchange Act of 1934 [...]

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