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[PDF File]Transition of Mid-Sized Investment Advisers from ...
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Transition of Mid-Sized Investment Advisers from Federal to State Registration www.investor.gov The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to make investors aware of upcoming changes in the registration rules for some investment advisers. On July 21, 2010, the Dodd-Frank Wall Street
sec registered investment adviser rules

[PDF File]IM Guidance Update - SEC
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Securities and Exchange Commission (“SEC” or “Commission”). Through this guidance, the staff seeks to address the following instances in which an investment adviser may be able to rely on special registration provisions for “successors” 1. to SEC-registered advisers, and the method by which a …
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[PDF File]ADVERTISING BY INVESTMENT ADVISERS Michael S. Caccese …
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sometimes conflicting SEC staff no-action letters, speeches by the SEC’s staff, and SEC enforcement actions against investment advisers. § 6.2 Rule 206(4)-1 Section 206(4) of the Advisers Act and Rule 206(4)-1 thereunder govern the advertisements of investment advisers. Section 206 applies to all advisers, whether registered or
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[PDF File]Investment Adviser Registration for Private Equity Fund ...
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pension consultants, (ii) advisers afﬁliated with an SEC-registered investment adviser, (iii) advisers expecting to be eligible for SEC registration within 120 days of ﬁling an initial Form ADV, (iv) certain multi-state investment advisers; and (v) certain internet advisers. These exemptions from the prohibition on SEC registration are
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[PDF File]Investment Adviser Guide
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the investment adviser is the trustee for a trust, and where the investment adviser acts as the investment adviser to that trust and complying with the terms described under 69W-600.0132(3)(e), F.A.C. An investment adviser having custody solely because the investment adviser,
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[PDF File]Investment Advisers Compliance “To Do” list for SEC ...
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2 March FOR INVESTMENT MANAGERS: IARD Fees: SEC-registered advisers and exempt reporting advisers are required to pay IARD fees before the submission of the Form ADV annual amendment (by March 31, 2018). Form ADV Annual Updating Amendment: Existing registered advisers must update their Form ADV within 90 days of their fiscal year end (Forms 1A and 2A).
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[PDF File]SEC Clarifies Registration Obligations of Advisory Affiliates
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SEC Clarifies Registration Obligations of Advisory Affiliates . By . Jay G. Baris and Stephanie Thomas . In an interpretive letter dated January 18, 2012, the Office of Investment Adviser Regulation of the Division of Investment Management clarified the registration requirements of certain investment advisory affiliates. 1. The “no-action ...
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Sec registered investment advisor