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

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Monthly Archives July 2010

SEC Passes New Form ADV Part 2 Rule for Investment Advisers

Today, the United States Securities and Exchange Commission (“SEC”) passed long-proposed changes to the disclosure statements that federally registered investment advisers provide regulators and clients. Originally, the SEC proposed changes to Form ADV Part 2 in 2000. That proposal was never adopted, but a second proposal was issued in 2008 and finally passed today. Under [...]

Posted by Bryan Hill

Wednesday, July 21, 2010

Labels: ADV Part 2, SEC

Kentucky Changes Registration Requirements for Investment Adviser Representatives

The General Assembly of the Commonwealth of Kentucky recently made several changes to the Securities Act of Kentucky which affect investment adviser representatives and their registration requirements. First, the definition of “investment adviser representative” has been slightly changed. The term is now defined as “an individual employed by or associated with an investment adviser…and who [...]

Posted by Bryan Hill

Tuesday, July 20, 2010

Labels: IAR Licensing

An Investment Advisor Should Test Periodically Whether It Is Maintaining The Required Books & Records

A registered investment advisor is required to make and keep true accurate and current certain books and records relating to its investment advisory business. For investment advisors registered with the U.S. Securities and Exchange Commission (SEC), these required books and records are outlined in Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”). Each investment advisor registered with the SEC [...]

Posted by Bryan Hill

Tuesday, July 6, 2010

Labels: Books Records

SEC Unanimously Agrees to Ban Pay-to-Play Practices by Investment Advisers

On June 30, 2010, the United States Securities and Exchange Commission (“SEC”) unanimously adopted Rule 206(4)-5 under the Investment Advisers Act of 1940 which is designed to curtail “pay to play” practices by registered investment advisers. (Click here for a link to the SEC press release). “Pay to play” is the practice of making contributions to [...]

Posted by Bryan Hill

Sunday, July 4, 2010

Labels: Political Contributions, SEC



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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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