12 03, 2021

State Exemptions from Investment Adviser Registration

By |2021-03-12T15:51:17-05:00March 12, 2021|Exempt Reporting Adviser, Filing Requirements, FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

For an investment adviser to qualify for an exemption from [...]

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5 03, 2021

Federal Exemptions from Investment Advisor Registration

By |2021-03-05T09:38:09-05:00March 5, 2021|Exempt Reporting Adviser, FINRA, IARD, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration, WebCRD/IARD|

Previously on the MasterCompliance blog, we covered When Do You [...]

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19 02, 2021

When Do You Have to Register as an Investment Adviser?

By |2021-02-19T09:26:46-05:00February 19, 2021|FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

The Investment Advisers Act of 1940 defines an investment adviser [...]

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12 02, 2021

Investment Advisor Representative Registration

By |2021-02-12T10:44:46-05:00February 12, 2021|FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC Registration, State Registration|

Individuals looking to be in the business of giving investment [...]

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5 02, 2021

The SEC Rule Change to Advisor Marketing Rules

By |2021-02-05T14:55:36-05:00February 5, 2021|Filing Requirements, FINRA, IARD, Investment Advisor Representative, Rules and Regulations, Rules and Regulations, SEC, Social Media|

In mid-December, the SEC adopted an amended rule to the [...]

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