Navigating the Regulatory Maze for Investment Advisors - Blog archives : Registered Investment Advisor (RIA) Compliance Consultants

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Monthly Archives November 2006

Kansas Securities Regulator Suspends IA Firm

Earlier this fall, the Office of the Kansas Securities Commissioner entered an order to summarily suspend the investment advisor registration of a state firm located in Overland Park, Kansas. According to the Commissioner’s Press Release, the “firm committed fraud by informing a client that his funds were maintained in an account at a brokerage firm [...]

Posted by Bryan Hill

Tuesday, November 28, 2006

Labels: Custody, Enforcement

An Individual Serving as Both RR/IAR Should Verify Actual Registration as an IAR with State Regulators

Do you serve as both a registered representative of a broker-dealer and an investment advisor representative of an investment advisory firm that’s independent of the broker-dealer? If so, you should take this opportunity at the end of the year to verify that you are properly registered as an investment advisor representative with the applicable state [...]

Posted by Bryan Hill

Sunday, November 26, 2006

Labels: Form U4

Our Recent Release of a "Resources" Webpage

We’re excited to announce a new Resources page on our website. Our goal with this page is to provide you with links to some of the more useful websites for today’s Chief Compliance Officer. The page is also a good reference tool for individuals and firms just starting an investment advisor. We also invite you [...]

Posted by Bryan Hill

Tuesday, November 21, 2006

Labels: Uncategorized

Initial IARD/CRD Fee Waiver for State Registered Firms & IARs Delayed Until January 2007

In a blog last month, we informed you of the SEC and NASAA’s intention to waive the initial Web CRD/IARD user fees charged to new investment advisor firms. The initial system fee to license an investment advisor representative (IAR) was also to be reduced from $45 to $30. According to the original press release, it [...]

Posted by Bryan Hill

Tuesday, November 21, 2006

Labels: IARD

2007 IARD Annual Renewal and Form ADV Annual Amendment Requirements

Beginning today, Monday November 6, 2006, investment advisor firms can access their 2007 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 8, 2006. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than [...]

Posted by Bryan Hill

Monday, November 6, 2006

Labels: Form ADV, IARD

MA Proposes New Regulations on Use of Senior Designations

The Massachusetts Securities Division (the “Division”) is proposing a new rule that would prohibit investment advisor representatives from using certain professional designations implying specialized or knowledge associated with seniors. According to the Division, this proposed rule is based on concerns about the use of designations that falsely convey a certain expertise in matters dealing with [...]

Posted by Bryan Hill

Wednesday, November 1, 2006

Labels: Advertising



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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