Compliance Advisers, Inc

Compliance Advisers, Inc

Search
Skip to content
  • Home
  • About Us
  • Broker/Dealer Compliance
    • Broker/Dealer Registration
    • FINRA (NASD) Rule 1017 Material Change Applications
    • Form CRS – Due June 30th
    • Expert Compliance Consulting
    • Independent AML Testing
    • FINRA Rule 3120 Testing & Verification and 3130 Certification
    • Compliance Manuals
    • Cybersecurity Written Policies and Procedures & Assessments
    • Continuing Education
    • Crowdfunding Portal Registration
  • Investment Adviser Compliance
    • Investment Adviser Registration
    • Form ADV/Form CRS
    • Annual Review Required by SEC Rule 206(4)-7
    • 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
  • Expert Witness Services
  • Financial Principal
    • Financial Principal Services
  • Members
    • Client Login
  • Contact Us
    • Contact Information
    • Get Started with Compliance Advisers
    • Careers
Uncategorized

Firm Registration

December 8, 2009 karen

Please

Post navigation

Previous PostFinOp & Financial Compliance SolutionsNext PostIA Registration

(303) 795-0400

Telephone

RSS FINRA Notices

  • Information Notice – 11/24/20
    The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 27, 2020 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
  • Information Notice – 11/23/20
    Summary To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted […]
  • Regulatory Notice 20-39
    Summary The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms. Firms should note the following key dates in the renewal process: October 19, 2020         Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via […]
  • Regulatory Notice 20-38
    Summary FINRA adopted a new rule to limit any associated person of a member firm who is registered with FINRA (each a “registered person”) from being named a beneficiary, executor or trustee, or to have a power of attorney or similar position of trust for or on behalf of a customer.1 New FINRA Rule 3241 […]

RSS SEC Press Releases

  • SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
    The Securities and Exchange Commission today released the agenda for the Dec. 1 meeting of the Asset Management Advisory Committee (AMAC).  AMAC was formed to provide the Commission with diverse perspectives on asset management and related…
  • SEC Investor Advisory Committee to Meet Remotely on Dec. 3
    The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on Dec. 3 by remote means. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on the committee's website…
  • SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
    The Securities and Exchange Commission today announced that it has voted to propose amendments to Securities Act Rule 701, which provides an exemption from registration for the issuance of compensatory securities by non-reporting issuers, and Form S-8,…

Customized Compliance Solutions™

Recent Posts

  • Form CRS Filing Deadline June 30 May 19, 2020

Archives

Categories

Meta

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