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	<title>Compliance Advisers</title>
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	<link>http://www.complianceadvisers.com</link>
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		<title>Investment Adviser Annual Review Requirement</title>
		<link>http://www.complianceadvisers.com/about/investment-adviser-annual-review-requirement</link>
		<comments>http://www.complianceadvisers.com/about/investment-adviser-annual-review-requirement#comments</comments>
		<pubDate>Fri, 17 Feb 2012 23:36:22 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[About]]></category>
		<category><![CDATA[Investment Adviser]]></category>
		<category><![CDATA[investment adviser]]></category>
		<category><![CDATA[investment adviser annual review]]></category>
		<category><![CDATA[RIA Annual Review]]></category>
		<category><![CDATA[Rule 206(4)-7]]></category>

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		<description><![CDATA[Rule 206(4)-7 under the Advisers Act (the “Compliance Rule”) requires a registered investment adviser to adopt and implement written policies and procedures reasonably designed to prevent a violation of the federal securities laws (including the prevention of a violation of the Advisers Act by the investment adviser and its supervised persons). The Compliance Rule also [...]]]></description>
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		<title>New Year, New Rules</title>
		<link>http://www.complianceadvisers.com/about/new-year-new-rules</link>
		<comments>http://www.complianceadvisers.com/about/new-year-new-rules#comments</comments>
		<pubDate>Wed, 01 Feb 2012 21:24:38 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[About]]></category>
		<category><![CDATA[advisers]]></category>
		<category><![CDATA[advising]]></category>
		<category><![CDATA[advisors]]></category>
		<category><![CDATA[authority]]></category>
		<category><![CDATA[Broker Dealer]]></category>
		<category><![CDATA[compliance]]></category>
		<category><![CDATA[Compliance Advisers]]></category>
		<category><![CDATA[Compliance Advisors]]></category>
		<category><![CDATA[compliance environment]]></category>
		<category><![CDATA[consulting]]></category>
		<category><![CDATA[filings]]></category>
		<category><![CDATA[finance]]></category>
		<category><![CDATA[finra]]></category>
		<category><![CDATA[focus]]></category>
		<category><![CDATA[forensic testing]]></category>
		<category><![CDATA[Form ADV]]></category>
		<category><![CDATA[healthy]]></category>
		<category><![CDATA[investment]]></category>
		<category><![CDATA[investment adviser]]></category>
		<category><![CDATA[investment advisor]]></category>
		<category><![CDATA[investment advisor Annual Review]]></category>
		<category><![CDATA[new regulations]]></category>
		<category><![CDATA[regulations]]></category>
		<category><![CDATA[relationship]]></category>
		<category><![CDATA[reports]]></category>
		<category><![CDATA[Rule 206(4)-7]]></category>
		<category><![CDATA[Rule 38a-1]]></category>
		<category><![CDATA[sec]]></category>
		<category><![CDATA[securities]]></category>
		<category><![CDATA[securities industry]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=369</guid>
		<description><![CDATA[It&#8217;s 2012, and as always, the world of compliance is changing. Keeping up with the moving targets in the securities industry is our specialty. With everything from Dodd-Frank to an upcoming Presidential Election, there is much to keep focused on in this field. As you do your best to advise your clients and manage funds, [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>Custom Package</title>
		<link>http://www.complianceadvisers.com/investmentadviser/custom-package</link>
		<comments>http://www.complianceadvisers.com/investmentadviser/custom-package#comments</comments>
		<pubDate>Tue, 15 Mar 2011 20:45:08 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[ADV]]></category>
		<category><![CDATA[Investment Adviser]]></category>
		<category><![CDATA[Dodd-Frank]]></category>
		<category><![CDATA[Form ADV]]></category>
		<category><![CDATA[Form ADV Amendment]]></category>
		<category><![CDATA[Form ADV Brochure]]></category>
		<category><![CDATA[Form ADV Part 2]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=357</guid>
		<description><![CDATA[Includes incorporating information extracted from your current Part II/Schedule F into the new format required by the Rule amendment in addition to the development of expanded and supplemental information derived from your responses on the CAI Part 2 Questionnaire to create a new brochure that meets the requirements of the new Rule. Final copy provided [...]]]></description>
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		<title>Semi-Custom Package</title>
		<link>http://www.complianceadvisers.com/investmentadviser/semi-custom-package</link>
		<comments>http://www.complianceadvisers.com/investmentadviser/semi-custom-package#comments</comments>
		<pubDate>Tue, 15 Mar 2011 20:44:26 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[ADV]]></category>
		<category><![CDATA[Investment Adviser]]></category>
		<category><![CDATA[Dodd-Frank]]></category>
		<category><![CDATA[Form ADV]]></category>
		<category><![CDATA[Form ADV Amendment]]></category>
		<category><![CDATA[Form ADV Brochure]]></category>
		<category><![CDATA[Form ADV Part 2]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=355</guid>
		<description><![CDATA[Includes incorporating information extracted from your current Part II/Schedule F into the new format required by the Rule amendment in addition to the development of expanded and supplemental information derived from your responses on the CAI Part 2 Questionnaire to create a new brochure that meets the requirements of the new Rule. Final copy provided [...]]]></description>
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		<title>Basic Package</title>
		<link>http://www.complianceadvisers.com/investmentadviser/basic-package</link>
		<comments>http://www.complianceadvisers.com/investmentadviser/basic-package#comments</comments>
		<pubDate>Tue, 15 Mar 2011 20:43:38 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[ADV]]></category>
		<category><![CDATA[Investment Adviser]]></category>
		<category><![CDATA[Dodd-Frank]]></category>
		<category><![CDATA[Form ADV]]></category>
		<category><![CDATA[Form ADV Amendment]]></category>
		<category><![CDATA[Form ADV Brochure]]></category>
		<category><![CDATA[Form ADV Part 2]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=353</guid>
		<description><![CDATA[Includes incorporating information extracted from your current Part II/Schedule F into the new format required by the Rule amendment in addition to the development of expanded and supplemental information derived from your responses on the CAI Part 2 Questionnaire to create a new brochure that meets the requirements of the new Rule. Final copy provided [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
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		<title>Customized Compliance Solutions</title>
		<link>http://www.complianceadvisers.com/about/customized-compliance-solutions</link>
		<comments>http://www.complianceadvisers.com/about/customized-compliance-solutions#comments</comments>
		<pubDate>Tue, 07 Sep 2010 20:11:49 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[About]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=293</guid>
		<description><![CDATA[Compliance Advisers has been offering customized compliance solutions to the securities industry for more than twenty years. We are proud of our past successes, and will continue to strive for the same success into the future. When we began as a small one-person firm, integrity and trust were the keys to our future success. We were [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>Important Dates for Regulatory Compliance</title>
		<link>http://www.complianceadvisers.com/about/important-dates-for-regulatorycompliance</link>
		<comments>http://www.complianceadvisers.com/about/important-dates-for-regulatorycompliance#comments</comments>
		<pubDate>Tue, 07 Sep 2010 20:10:15 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[About]]></category>
		<category><![CDATA[ADV]]></category>
		<category><![CDATA[Broker Dealer]]></category>
		<category><![CDATA[Financial]]></category>
		<category><![CDATA[Firm Registration]]></category>
		<category><![CDATA[Investment Adviser]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=291</guid>
		<description><![CDATA[July 31 &#8211; Filing Date December 31 &#8211; End of Fiscal Year (as defined by the SEC) February 14 &#8211; Quit Smoking Day]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Client Downloads</title>
		<link>http://www.complianceadvisers.com/about/membersonly/client/client-downloads</link>
		<comments>http://www.complianceadvisers.com/about/membersonly/client/client-downloads#comments</comments>
		<pubDate>Tue, 07 Sep 2010 20:08:25 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[Client]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=289</guid>
		<description><![CDATA[Here is your download information formatted for you to send directly to FINRA. File Compliance Advisers tries to go above and beyond what standardized compliance companies by providing everything you need for your filing to make sure you don&#8217;t run into trouble (or if something gets kicked back, we&#8217;ll be there to help return the [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Focus Report Filing</title>
		<link>http://www.complianceadvisers.com/financial/focus-report-filing</link>
		<comments>http://www.complianceadvisers.com/financial/focus-report-filing#comments</comments>
		<pubDate>Tue, 07 Sep 2010 20:03:57 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[Financial]]></category>
		<category><![CDATA[Broker Dealer]]></category>
		<category><![CDATA[Broker Dealer Financial Report]]></category>
		<category><![CDATA[Financial Principal]]></category>
		<category><![CDATA[finop]]></category>
		<category><![CDATA[FOCUS Report]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=286</guid>
		<description><![CDATA[Your company must file quarterly reports called Focus Reports. Restrictions and requirements differ between Investment Advisers and Broker/Dealers. This counts as 1 hour of education if you complete this test: Link to test.]]></description>
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		<slash:comments>0</slash:comments>
		</item>
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		<title>New FINRA Regulation</title>
		<link>http://www.complianceadvisers.com/brokerdealer/new-finra-regulation</link>
		<comments>http://www.complianceadvisers.com/brokerdealer/new-finra-regulation#comments</comments>
		<pubDate>Tue, 07 Sep 2010 20:01:41 +0000</pubDate>
		<dc:creator>Karen</dc:creator>
				<category><![CDATA[Broker Dealer]]></category>
		<category><![CDATA[Firm Registration]]></category>
		<category><![CDATA[FINRA Broker Dealer]]></category>
		<category><![CDATA[FINRA Registration]]></category>
		<category><![CDATA[Form NMA]]></category>
		<category><![CDATA[New Broker Dealer]]></category>

		<guid isPermaLink="false">http://www.complianceadvisers.com/?p=283</guid>
		<description><![CDATA[Keep your eyes open for regulatory reform in 2011 when FINRA will require new information from all Broker/Dealers. You must keep this up to date with a registered License Holder.]]></description>
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