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
    • 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

  • Election Notice – 05/16/22
    Summary The annual meeting of FINRA firms will take place on or about Friday, August 19, 2022, 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 […]
  • Information Notice – 05/06/22
    March 2022 Options Disclosure Document
  • Special Notice – 4/22/22
    Summary FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (FINRA Board). This Notice provides:
  • Information Notice - 4/21/22
    Summary Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $5.10 per million dollars in transactions to a new rate of $22.90 per million dollars in transactions. Finance-related questions should be directed to Amanda Rath, […]

RSS SEC Press Releases

  • SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud
    The Securities and Exchange Commission (SEC) today charged Allianz Global Investors U.S. LLC (AGI US) and three former senior portfolio managers with a massive fraudulent scheme that concealed the immense downside risks of a complex options trading…
  • SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
    The Securities and Exchange Commission today announced that it obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and…
  • SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS
    The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it will…

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