All SEC-registered investment advisers (“advisers”) are required to annually renew their state notice filings and state representative and branch registrations through the IARD Renewal Program....more
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below.
The SEC Adopts Significant New Rules for Private...more
10/16/2023
/ Amended Rules ,
Analytics ,
Beneficial Owner ,
Compliance ,
Compliance Dates ,
Custody Rule ,
Enforcement Actions ,
Filing Deadlines ,
Form PF ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Rules ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Reporting Requirements ,
Risk Alert ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
All SEC-registered investment advisers (“advisers”) are required to annually renew their state notice filings and state representative and branch registrations through the IARD Renewal Program.
Preliminary renewal...more