Free Webinar - the Nuts & Bolts of Registering an Investment Advisor
Join us for our complimentary webinar, the "The Nuts & Bolts of Registering an Investment Advisor," on Wednesday, April 21, 2010 at 12:00 p.m. Central.
During this webinar, RIA Compliance Consultants will explain in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants will give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.
Register now for this free webinar so you can start planning your new investment advisor firm. Click here to enroll.
During this webinar, RIA Compliance Consultants will explain in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants will give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.
Register now for this free webinar so you can start planning your new investment advisor firm. Click here to enroll.
Labels: Webinar
posted by bhill at 9:50 AM
