Compliance Advisers, Inc

Compliance Advisers, Inc

Search
Skip to content
  • Home
    • Website Disclosures, Privacy Policy & Terms of Use
  • 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
    • Broker/Dealer Registration
    • Expert Compliance Consulting
    • FINRA (NASD) 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
  • Members
    • Client Login
  • Contact Us
    • Contact Information
    • 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

  • Election Notice – 9/11/23
    Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
  • Election Notice – 9/11/23
    Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA […]
  • Regulatory Notice 23-15
    Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
  • Regulatory Notice 23-14
    Summary FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced  transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or Government-Sponsored Enterprise, […]

RSS SEC Press Releases

  • SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors
    The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from more…
  • SEC Approves Revised Privacy Act Rule
    The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government. The final rule clarifies,…
  • SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
    The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely to mislead investors about a fund’s investments and risks. The amendments modernize and enhance the…

Customized Compliance Solutions™

Recent Posts

  • IA’s: 2022 Annual Rule 206(4)-7 Reviews February 7, 2022

Archives

Categories

Meta

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