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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
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