RIA Compliance Consultants
Blog
 
Home
About Us
Our Services
  IA Registration
Annual Compliance for New IA
Switch from SEC to State
Code of Ethics
Customized Compliance Program
Compliance Webinars
  Upcoming Webinars
Recorded Webinars
Blog
Navigating the Regulatory Maze
Frequently Asked Questions
  IA Registration
Switch from SEC to State
Series 65 Exam
Solicitor
Form 13F
Written Supervisory Procedures
Codes of Ethics
Insurance Agents as IAs
  Wrap Fee Brochures
Compliance Tips
  State IA Registration
Form ADV Background
Form ADV Drafting
SEC Examination
Published Articles
Contact Us

Online Invoice Payments
Newsletter Signup
Speaker Request
Resources
Job Openings
Search Our Site
Disclosures
(877) 345-4034 		Blog

Monthly Archives November 2010

Form ADV Part 1 Custody Changes

As part of CRD/IARD Software Release 2010.4 (click here to access the release), the United States Securities and Exchange Commission (“SEC”) announced changes to the custody questions listed on Form ADV Part 1.  Specifically, the following changes have been made to Item 9 of Form ADV Part 1: SEC registered advisers must continue to indicate [...]

 
Posted by Bryan Hill
Monday, November 15, 2010
Labels: Custody, Form ADV, IAR Licensing, IARD

 

Super Account Administrator Designation Form for IARD/CRD Entitlement Process is Due November 30

Changes have been made to the Entitlement Program which requires action by your investment adviser firm.  As you may know, the Financial Industry Regulatory Authority (“FINRA”) administers the IARD and CRD systems for investment adviser firms on behalf of the U.S. Securities and Exchange Commission and state securities regulators, and the Entitlement Program allows an [...]

 
Posted by Bryan Hill
Monday, November 8, 2010
Labels: IARD

 

Registered Representatives of Broker-Dealers May No Longer Use Form U10 to Open Series 65 Exam

If a registered representative of a broker-dealer wants to open a Series 65 exam window, it is the understanding of RIA Compliance Consultants that the registered representative must now go through his or her broker-dealer’s Web CRD account by using Form U4.  This could create an additional challenge for certain registered representatives preparing to depart [...]

 
Posted by Bryan Hill
Saturday, November 6, 2010
Labels: IAR Licensing

 

Investment Advisers Registered with Nebraska Must Submit New ADV Part 2 by December 23, 2010

The Securities Bureau of the Nebraska Department of Banking and Finance recently released an annual renewal notice reminding investment advisers registered with the State of Nebraska that their investment adviser registration expires on December 31, 2010.  The notice by the Nebraska Securities Bureau states that in order to renew registration by January 1, 2011, all [...]

 
Posted by Bryan Hill
Wednesday, November 3, 2010
Labels: ADV Part 2

 
  

Turnkey Investment Advisor Registration Service

Starting an RIA?

Utilize our expertise to leverage your time while growing your new business.
Request a Proposal

Annual Investment Advisor Compliance Program

Need help implementing an ongoing and comprehensive compliance program?

Outsource the heavy lifting by partnering with industry experienced professionals.
Request a Proposal

TwitterLinkedINFacebookYouTube

Subscribe to this Feed

 
 
Easy-to-Read Instructions

* 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.

Home
About RIA Compliance Consultants, Inc.
Our Services
   Investment Advisor Registration Service
  Annual Compliance for New IA
  Switch an IA from SEC to State
  Code of Ethics
  Customized Compliance Program
Compliance Tips
  Tips for Registering as a State Investment Advisor
  Form ADV Background
  Form ADV Drafting Tips
  SEC Exam Tips
Compliance Webinars
  Upcoming Webinars
  Recorded Webinars
Frequently Asked Questions
   Investment Advisor Registration FAQs
  Switch from SEC to State FAQs
  Series 65 Examination FAQs
  Solicitor Referral Arrangements FAQs
  Form 13F, Schedule 13D & Schedule 13G FAQs
  Schedule H FAQs
  Written Supervisory Procedures
  Codes of Ethics
  Insurance Agents as IAs FAQs
  Wrap Fee Brochures
Published Articles
Blog
Contact RIA Compliance Consultants, Inc.
Online Invoice Payments
Newsletter
Speaker Request
Investment Advisor Resources
Job Openings
Search
Disclosures
Site Map
Link to RIA Compliance Consultants, Inc.