Monthly Archives: December 2011

More Dodd-Frank changes

SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act The Securities and Exchange Commission has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may invest … Continue reading

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Cindi obtains designation!

Cindi Hill of Hill Compliance Advisors has completed the requirements of the NRS Investment Adviser Certified Compliance Professionalsm (IACCPsm) Program.  As a newly certified Investment Adviser Certified Compliance Professionalsm (IACCPsm), she is authorized to use the IACCPsm certification marks. The … Continue reading

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IARD – Past Due email

You may have received an email today from FINRA/IARD.  The Subject line is Org#xxxxxx  – Past Due: FINRA Entitlement User Accounts Certification.  The body of the  email is “past due text”.  If you have received this email, please disregard.  If … Continue reading

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