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Monthly Archives September 2008

New Form ADV Part 2 Proposed Rule

In March 2008 the U.S. Securities and Exchange Commission (“SEC”) proposed material changes to the disclosure and format requirements of the Form ADV Part 2 for a registered investment adviser. The SEC received numerous comments regarding its proposal this spring and could take action in the near future. If the SEC adopts the proposed new [...]

 
Posted by Bryan Hill
Friday, September 26, 2008
Labels: ADV Part 2, SEC

 

SEC Issues Guidance Regarding the Reporting of Short Selling by Certain Institutional Investment Managers

Yesterday, the U.S. Securities and Exchange Commission (“SEC”) posted a set of questions and answers concerning the SEC’s temporary order requiring certain institutional investment managers to report short sales. Effective this week, institutional investment managers must report daily short sales of section 13(f) securities. According to the SEC, questions and answers presented on their website, [...]

 
Posted by Bryan Hill
Friday, September 26, 2008
Labels: Form 13F, Short Sales

 

SEC Amends Order Requiring Certain Institutional Investment Managers to Report New Short Sales of Section 13(f) Securities

The United States Securities and Exchange Commission (“SEC”) approved amendments to its temporary rule requiring the reporting of short sales of Section 13(f) securities by institutional investment managers. According to a press release issued yesterday, in addition to making technical amendments, the revised order provides that information submitted on Form SH will not be made [...]

 
Posted by Bryan Hill
Monday, September 22, 2008
Labels: Form 13F

 

Webinar – Complying with SEC’s Emergency Order Requiring 13F Filers to Report Short Sales

If your firm is required to file the Form 13F with the U.S. Securities and Exchange Commission (“SEC”), are you prepared to file your first Form SH via EDGAR by September 29, 2008 pursuant to the SEC’s emergency order issued last week? If you are not ready to file your Form SH, please take this [...]

 
Posted by Bryan Hill
Sunday, September 21, 2008
Labels: Form 13F

 

SEC Releases Emergency Orders to Halt Short Selling of Financial Stocks and Report Short Selling of Section 13(f) Securities

Breaking News – The SEC has implemented two emergency orders regarding the practice of short selling. You can read the SEC press release announcing the orders by clicking here. The first order takes effect immediately and is intended to halt short selling of 799 financial stocks. According to the press release, “This decisive SEC action [...]

 
Posted by Bryan Hill
Friday, September 19, 2008
Labels: Form 13F, SEC

 

Proposed New Form ADV Part 2 – Table of Contents and Index Required

According to the proposed new Form ADV Part 2 rule, registered investment advisors will be required to insert a table of contents at the beginning of their brochures and an index at the end of their brochures. In the proposing rule releaseoffered earlier this year for consideration by the U.S. Securities and Exchange Commission (“SEC”), [...]

 
Posted by Bryan Hill
Friday, September 12, 2008
Labels: ADV Part 2, Form ADV

 

Proposed New Form ADV Part 2A Will Require a “Material Changes” Page

According to the proposed new Form ADV Part 2 rule offered earlier this year for consideration by the U.S. Securities and Exchange Commission (“SEC”), registered investment advisors will be required to insert a Material Changes page at the beginning of their brochures. Material changes could be summarized on the Cover Page of the brochure or [...]

 
Posted by Bryan Hill
Friday, September 12, 2008
Labels: ADV Part 2, Form ADV

 

Proposed New Form ADV Part 2 Must Be Delivered to All Clients on Annual Basis

The new Form ADV Part 2 proposal outlines numerous changes regarding additional and more detailed disclosures of a registered investment advisor’s services, conflicts of interests and material arrangements. However, the most significant new requirement under the proposed rule may be an administrative one. Currently, the U.S. Securities and Exchange Commission (“SEC “) and state registered [...]

 
Posted by Bryan Hill
Friday, September 12, 2008
Labels: ADV Part 2, Form ADV

 

Understanding the SEC’s Proposed New Form ADV Part 2 – Complimentary Webinar

Join us for a webinar, Understanding the SEC’s Proposed New Form ADV Part 2, on Thursday, September 25. Reserve your complimentary webinar seat now by clicking here. Take the opportunity to better understand the details of the SEC’s proposed new Form ADV Part 2 by attending a complimentary webinar, Understanding the SEC’s Proposed New Form [...]

 
Posted by Bryan Hill
Monday, September 8, 2008
Labels: Form ADV

 

Are You Ready for the Proposed New Form ADV Part 2?

As required under SEC Rule 204-3 under the Investment Advisers Act of 1940 and similar state securities rules, a registered investment advisor is required to provide all clients with a disclosure brochure. In order to comply with this rule, registered investment advisors may provide a copy of their Form ADV Part II or may provide [...]

 
Posted by Bryan Hill
Monday, September 8, 2008
Labels: Form ADV

 
  

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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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