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

  • Election Notice - 10/5/2026
    The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC) and to announce the start of a 45-day petition period for those interested in becoming candidates.
  • 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.

RSS feed: SEC Press Releases SEC Press Releases

  • SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
    The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
  • SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
    The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
  • SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
    The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…

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