Skip to content
Compliance Advisers, Inc

Compliance Advisers, Inc

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

Firm Registration

December 8, 2009 karen

Please

Post navigation

Previous PostFinOp & Financial Compliance SolutionsNext PostIA Registration

(303) 795-0400

Telephone

RSS feed: FINRA Notices FINRA Notices

  • Regulatory Notice 26-16
    Summary FINRA has amended its TRACE rules to expand the scope of the principal transaction indicator (previously applicable only to transactions with non-member affiliates) to also include transactions with member affiliates. This change will improve transparency in TRACE-eligible securities by streamlining dissemination of same-priced prints reflecting related transactions between a member and its member affiliate. The […]
  • Information Notice 8/3/26
    SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:
  • Regulatory Notice 26-15
    SummaryA broker-dealer’s duty of best execution is a key investor protection and safeguard of market integrity. FINRA Rule 5310, together with its related body of interpretive guidance, provides principles-based standards for member firms in connection with their duty to ascertain the best market for their customers’ orders.
  • Regulatory Notice 26-14
    Summary FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).

RSS feed: SEC Press Releases SEC Press Releases

  • SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
    The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO…
  • SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
    The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…
  • SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
    The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…

Customized Compliance Solutions™

Recent Posts

  • REMINDER: Compliance with Reg S-P Amendments Due Soon for “Smaller Entities” May 18, 2026

Archives

Categories

Meta

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