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  • IAPD - Investment Adviser Public Disclosure - Homepage
    Investment advisers file Form ADV to register with the SEC and or the states Some advisers that do not have to register with the SEC or the states ("Exempt Reporting Advisers") must nonetheless complete some of the questions in Form ADV for purposes of reporting to the SEC and or the states
  • Jonathon Hendricks, January 26, 2015 - SEC. gov
    Section 203(a) requires investment advisers that make use of the mails or any means or instrumentality of interstate commerce in connection with his or its business to register with the Commission unless certain exceptions from the requirement to register or prohibitions against registration apply
  • OCIE Letter: To ADVs - Areas Reviewed and Violations Found - SEC. gov
    The inspection staff of the U S Securities and Exchange Commission has prepared this letter to assist registered investment advisers in complying with the Investment Advisers Act of 1940 and the rules thereunder
  • IAPD - Investment Adviser Public Disclosure - Homepage
    This file contains information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC and is available for download in XML format
  • Final Rule: Investment Adviser Marketing - SEC. gov
    addresses advisers marketing their services to clients and investors (the “marketing rule”) The marketing rule amends existing rule 206(4)-1 (the “advertising rule”), which we adopted in 1961
  • Information About Registered Investment Advisers and Exempt Reporting . . .
    These files contain information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC The majority of the data fields included in this report are from Form ADV and the report’s column headings refer to specific questions within Form ADV (e g 5B(2) refers to Form ADV
  • Investment Adviser Regulation - SEC. gov
    http: www sec gov divisions investment iaregulation shtml Contact | Employment | Links | FOIA | Forms | Privacy Policy: Modified: 05 22 2012 05 22 2012
  • FORM ADV (Paper Version) - SEC. gov
    advisers Every application for registration must include a narrative brochure prepared in accordance with the requirements of Part 2A of Form ADV See Advisers Act Rule 203- 1 • Part 2B requires advisers to create brochure supplements containing information about certain supervised persons
  • UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION . . .
    The rules adopted under Section 204 of the Advisers Act, including Advisers Act Rule 204-2(a)(7), require that investment advisers preserve for at least five years in an easily accessible place, the first two years in an appropriate office of the investment adviser,
  • Investment Advisers - Number of Advisers - SEC. gov
    This visualization relies on registration and exemptions reported on Form ADV Item 2 For each type of adviser, the rows are not mutually exclusive as advisers may select more than one basis of registration or exemption





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