Archives
- May 2020
- April 2020
- March 2020
- March 2019
- January 2019
- December 2018
- June 2018
- May 2018
- March 2018
- February 2018
- December 2017
- November 2017
- October 2017
- September 2017
- July 2017
- June 2017
- May 2017
- April 2017
- March 2017
- February 2017
- January 2017
- December 2016
- November 2016
- October 2016
- September 2016
- August 2016
- July 2016
- June 2016
- May 2016
- April 2016
- March 2016
- February 2016
- January 2016
- December 2015
- November 2015
- October 2015
- September 2015
- August 2015
- July 2015
- June 2015
- May 2015
- April 2015
- March 2015
- February 2015
- January 2015
- December 2014
- August 2014
- July 2014
- April 2014
- March 2014
- February 2014
- January 2014
- December 2013
- September 2013
- August 2013
- July 2013
- May 2013
- April 2013
- February 2013
- January 2013
- November 2012
- September 2012
- August 2012
- July 2012
- June 2012
- May 2012
- April 2012
- March 2012
- December 2011
- September 2011
- August 2011
Monthly Archives: July 2012
Maintaining Correct Disclosures
When completing a renewal for any professional designation or certification, be sure to read all the questions carefully. For example, one of the questions on the CFP renewal application is “Have you ever been a defendant or respondent in a … Continue reading
Large Trader Rule
It has come to my attention that many investment advisers may not be aware of some of the new SEC Rules. One in particular is SEC Rule 13h-1 imposing new filing requirements on “Large Traders.” What constitutes a “Large Trader” … Continue reading
Posted in Uncategorized
Tagged compliance, IA regulations, Investment Advisor, SEC regulations
Leave a comment