12 04, 2021

Minimums for RIAs Policies and Procedures

By |2021-04-12T11:12:45-04:00April 12, 2021|Filing Requirements, IARD, NASAA, Registered Investment Advisers, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC|

All RIAs are required to register either with the SEC [...]

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5 04, 2021

Timely Updating the Brochure

By |2021-04-05T12:38:27-04:00April 5, 2021|Exempt Reporting Adviser, Filing Requirements, FINRA, IARD, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

Part 2A of the Form ADV requires advisers to create [...]

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26 03, 2021

Part 2A of Form ADV: Firm Brochure

By |2021-03-26T13:03:07-04:00March 26, 2021|Filing Requirements, FINRA, IARD, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

Rule 204-3, the brochure rule, is a requirement under the [...]

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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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15 01, 2021

NASAA’s New Rule on IAR CE

By |2021-01-15T16:09:16-05:00January 15, 2021|Continuing Education, Examinations, FINRA, Investment Advisor Representative, NASAA, Rules and Regulations, Rules and Regulations|

The North American Securities Administrators Association ("NASAA") recently adopted a new rule that will require Investment Advisor Representatives ("IARs") to complete 12 credit hours of Continuing Education annually.

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