How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]
28
06, 2021
16
06, 2021
Act 22: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
19
05, 2021
Act 20: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
30
04, 2021
Exclusions from Registration as an Agent
Agents are individuals in a sales capacity who represent broker-dealers [...]
5
03, 2021
Federal Exemptions from Investment Advisor Registration GalleryFederal Exemptions from Investment Advisor Registration
Exempt Reporting Adviser, FINRA, IARD, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration, WebCRD/IARD
Federal Exemptions from Investment Advisor Registration
Previously on the MasterCompliance blog, we covered When Do You [...]
24
12, 2020
Footnote 74 Under SEC’s Customer Protection Rule
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part II
[Continued from Exempt Reporting Adviser Registration – Part I] Requirements [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part I
The Dodd-Frank Act (“Dodd-Frank”) not only mandated the registration of countless [...]