Knowledge Base

Can a SEC registered investment adviser accept confirmations and statements in lieu of a personal securities transaction report by the access person?


Search Knowledge Base by Keyword

Can a SEC registered investment adviser accept confirmations and statements in lieu of a personal securities transaction report by the access person?

< Back

Confirmations and statements may be accepted in lieu of transaction and holdings reports so long as the confirmations and statements contain all required information and as long as the information is current within 45 days of reporting for holdings reports and so long as they are received within 30 days of the end of each calendar quarter for personal securities transactions.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.