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

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Monthly Archives May 2007

Attention State Registered Investment Advisors – Deadline to Post Form ADV Part II on IARD

In a previous blog this month, RIA Compliance Consultants, Inc., told you about the IARD/Web CRD’s new functionality allowing registered investment advisors to post their Form ADV Part II online. According to an e-mail sent from the California Securities Regulation Division, any amendments to Form ADV Part II after April 24 should now be posted [...]

Posted by Bryan Hill

Tuesday, May 29, 2007

Labels: Form ADV, IARD

IARD Form ADV Part II Functionality Goes Live for Registered Investment Advisors

With IARD/Web CRD Release 9.0, the NASD implemented several changes that went into effect on April 23, 2007. The most significant of these changes is the ability for registered investment advisor firms to post their Form ADV Part II online. This new update has not received the widespread media coverage that the release of the [...]

Posted by Bryan Hill

Wednesday, May 16, 2007

Labels: Form ADV, IARD

Legislation Proposes Required Hedge Funds to Register as an Investment Advisor

Investment News is reporting that U.S. Senator Charles Grassley, the ranking Republican on the Senate Finance Committee, has introduced legislation that would require hedge fund managers to register as an investment advisor with the U.S. Securities and Exchange Commission.

Posted by Bryan Hill

Wednesday, May 16, 2007

Labels: Hedge Funds

Broker/Dealer Exemption Rule Vacated

In a 2-1 decision issued at the end of March, the U.S. Court of Appeals for the District of Columbia Circuit threw out what is commonly referred to as the Merrill Lynch Rule, formally known as Rule 202(a)(11)-1 of the Investment Advisers Act of 1940. Under this rule, the SEC exempted certain broker-dealers from investment [...]

Posted by Bryan Hill

Friday, May 11, 2007

Labels: Registration, SEC

Annual Amendment Filings

Did your firm file its Form ADV Part 1 Annual Amendment by March 30? If your registered investment advisor firm’s fiscal year end was December 31, the answer to this question should be a definite yes. If your investment advisor firm has not yet completed the Annual Amendment, give us a call today so we [...]

Posted by Bryan Hill

Friday, May 11, 2007

Labels: Form ADV

First Quarter 2007 Personal Securities Transactions

RIA Compliance Consultants, Inc. would like to remind all SEC registered advisor firms of their obligation to collect and review first quarter personal securities transactions. These reports should have been officially collected by the end of April. If your investment advisor firm has not collected its reports, please make sure you do so as soon [...]

Posted by Bryan Hill

Friday, May 11, 2007

Labels: Compliance Program, PST



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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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