Here’s our update regarding proposed changes to the regulation of investment advisers. The Financial Services Committee of the U.S. House of Representatives advanced H.R. 3817, the Investor Protection Act, out of committee yesterday. According to the Financial Services Committee’s press release, key provisions of this bill include the following: an independent study of the regulatory [...]
Monthly Archives November 2009
2010 IARD Renewal & Form ADV Annual Amendment Requirements
Beginning Monday, November 16, 2009, registered investment advisor firms can access their 2010 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 11, 2009. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than [...]
