Compliance Advisers, Inc

Compliance Advisers, Inc

Search
Skip to content
  • Contact Us
  • Home
    • Website Disclosures, Privacy Policy & Terms of Use
  • Contact Information
  • About Us
  • Investment Adviser Compliance
    • Investment Adviser Registration
    • Annual Review Required by SEC Rule 206(4)-7
    • Form ADV/Form CRS
    • Advisers to Private Funds: Mock SEC Presence Exam
    • Investment Adviser Policy & Procedures Manuals
    • Investment Adviser Compliance Consulting
    • Model Guidance for IA Business Continuity and Succession Planning
    • Web IARD/CRD Services
  • Broker/Dealer Compliance
    • FINRA Rule 1014 – Broker/Dealer Registration
    • Expert Compliance Consulting
    • FINRA Rule 1017 Material Change Applications
    • Independent AML Testing
    • FINRA Rule 3120 Testing & Verification and 3130 Certification
    • Form CRS
    • Compliance Manuals
    • Cybersecurity Written Policies and Procedures & Assessments
    • Continuing Education
    • Crowdfunding Portal Registration
  • Financial Principal
    • Financial Principal Services
  • Expert Witness Services
  • Careers
    • FinOp Opportunities
  • Members
    • Client Login
Uncategorized

Firm Registration

December 8, 2009 karen

Please

Post navigation

Previous PostFinOp & Financial Compliance SolutionsNext PostIA Registration

(303) 795-0400

Telephone

RSS FINRA Notices

  • Election Notice - 7/18/2025
    SummaryFINRA will conduct its Annual Meeting of firms on Monday, August 18, 2025, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1
  • Information Notice - 6/26/25
    Effective July 1, 2025, Prospective CAT Cost Recovery Fee 2025-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and Prospective CAT Cost Recovery Fee 2025-2 will be in effect.
  • Election Notice - 5/15/2025
    The annual meeting of FINRA firms will take place on or about August 18, 2025, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or […]
  • Special Notice – 5/15/25
    SummaryFINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.

RSS SEC Press Releases

  • SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme
    The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…
  • SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A
    The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the public…
  • SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
    The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the…

Customized Compliance Solutions™

Recent Posts

  • IA’s: 2024 Annual Rule 206(4)-7 Reviews January 16, 2025

Archives

Categories

Meta

  • Log in
  • Entries feed
  • Comments feed
  • WordPress.org
Proudly powered by WordPress