RIA Compliance is offering a complimentary webinar, “How to Become a Registered Investment Advisor” for parties interested in starting an investment advisor firm.
During this webinar, RIA Compliance Consultants will explain in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants will give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.
Register now for this complimentary webinar so you can start planning for your new investment advisor firm.
Dates: 1/15/2020; 2/12/2020; 3/11/2020; 4/8/2020; 5/13/2020; 6/10/2020; 7/15/2020; 8/12/2020; 9/9/2020; 10/14/2020; 11/11/2020; 12/2/2020.
Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Time on the topics and dates listed above.
Technical Requirements: In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® 2000, XP Home, XP Pro, 2003 Server, or Vista. Macintosh®-based attendees will need Mac OS®.
Continuing Education Credits: Certain live webinar sessions may be eligible for continuing education credits of certain professional organizations. An attendee seeking CE credit for an upcoming live webinar session must contact RIA Compliance Consultants at least two weeks in advance of the live webinar session date to request that the webinar be submitted for CE credit to the professional organization, and the webinar attendee will be required to pay in advance the CE submission/review fee charged by the professional organization.