Registrations Archives - Page 3 of 4 - Master Compliance

3 03, 2021

Change to New York IAR Registration
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Change to New York IAR Registration
Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD

Change to New York IAR Registration

By admin|2021-03-03T17:37:40-05:00March 3, 2021|Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD|

On December 1, 2020, the state of New York adopted [...]

1 03, 2021

Pros and Cons of Buying A Broker Dealer
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Pros and Cons of Buying A Broker Dealer
Broker-Dealer, Broker-Dealer Ownership, FINRA, Form CRS, Registrations, Rules and Regulations, SEC

Pros and Cons of Buying A Broker Dealer

By admin|2021-03-01T10:53:04-05:00March 1, 2021|Broker-Dealer, Broker-Dealer Ownership, FINRA, Form CRS, Registrations, Rules and Regulations, SEC|

Considerations for Buying a Broker Dealer If you find yourself [...]

26 02, 2021

Exclusions from the Definition of Investment Advisor
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Exclusions from the Definition of Investment Advisor
FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration

Exclusions from the Definition of Investment Advisor

By admin|2021-02-26T09:49:33-05:00February 26, 2021|FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

Previously we covered Investment Advisor Registration in our blog When [...]

12 02, 2021

Investment Advisor Representative Registration
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Investment Advisor Representative Registration
FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC Registration, State Registration

Investment Advisor Representative Registration

By admin|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 [...]

25 03, 2020

U4 Disclosure Updates: Cautionary Tales
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U4 Disclosure Updates: Cautionary Tales
Broker-Dealer, FINRA, Registrations

U4 Disclosure Updates: Cautionary Tales

By admin|2020-03-25T15:43:32-04:00March 25, 2020|Broker-Dealer, FINRA, Registrations|

Failure to timely update information on individual Form U4 disclosure [...]

18 12, 2019

Annual Compliance Requirements: Year-End Priorities
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Annual Compliance Requirements: Year-End Priorities
Anti-Money Laundering, Broker-Dealer, FINRA, Registrations

Annual Compliance Requirements: Year-End Priorities

By admin|2019-12-18T12:04:37-05:00December 18, 2019|Anti-Money Laundering, Broker-Dealer, FINRA, Registrations|

It’s that time of the year again! As the fourth [...]

9 11, 2018

2019 FINRA Renewal Program for BDs and RIAs
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2019 FINRA Renewal Program for BDs and RIAs
Broker-Dealer, Compliance Calendar, FINRA, Registered Investment Advisers, Registrations, WebCRD/IARD

2019 FINRA Renewal Program for BDs and RIAs

By admin|2018-11-09T12:31:44-05:00November 9, 2018|Broker-Dealer, Compliance Calendar, FINRA, Registered Investment Advisers, Registrations, WebCRD/IARD|

The 2019 FINRA Renewal Program for Broker-Dealers, Investment Adviser Firms, [...]

23 08, 2018

FINRA Enhances Disclosure Review Process

By admin|2018-08-23T14:43:06-04:00August 23, 2018|Broker-Dealer, FINRA, Registrations, Rules and Regulations|

As I’m sure you already know from reading our previous [...]

11 06, 2018

How to Register as an RIA: State Registration vs. SEC Registration

By admin|2018-06-11T17:55:08-04:00June 11, 2018|Registered Investment Advisers, Rules and Regulations, SEC, SEC Registration, State Registration|

In our previous blog on Registered Investment Advisers (RIAs), “How [...]

23 05, 2018

Crowdfunding: Funding Portal Registration – Part II

By admin|2018-05-23T16:53:13-04:00May 23, 2018|Broker-Dealer, Crowdfunding, FINRA, Registrations, Regulation CF, SEC|

[Continued from Crowdfunding: Funding Portal Registration – Part I] Funding [...]

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