Is your federally registered investment adviser firm ready for the SEC’s new custody rule? Join us Thursday, February 25, 2010 for our webinar exploring the new SEC requirements for investment adviser firms with custody. We will be discussing many common investment adviser practices that result in custody as defined by the SEC and answer pressing [...]
Monthly Archives February 2010
Deadline Approaching for Filing the Form 13F with the SEC
Is your investment advisor firm required to file quarterly the Form 13F with the SEC? According to Section 13(f) of the Securities Exchange Act of 1934, an institutional money manager that exercises investment discretion over $100 million of Section 13(f) securities must submit quarterly 13F reports to the U.S. Securities and Exchange Commission (“SEC”). Since [...]
