Documents

New Registration Requirements for Municipal Advisers (PDF)

FINRA Rule 5131(b) “Spinning Prohibition Rules” (PDF)

Qualified Client Standard Raised – Effective September 19, 2011 ( PDF)

Sec Announces New Reporting Requirements And Extends Registration Deadlines (PDF)

SEC Considers Extending Registration Deadlines for Investment Advisers (PDF)

New Amendments to the Form ADV Part 2 Require Greater Plain English Disclosures (PDF)

President Obama Signs the Dodd-Frank Wall Street Reform and Consumer Protection Act (PDF)

Checklist of “Foreign Private Adviser” Exemption (PDF)

Impact of Dodd-Frank Act on Foreign Investment Advisers (PDF)

Under New Dodd-Frank Act Foreign Investment Advisors Face More Regulation (PDF)

Form PF: Recent Developments

Compliance Date For Large Traders To File Form 13h

( Above not found on current website.  Once found we can updated accordingly. File would be called: ComplianceDate_LargeTraders.pdf   )

Exempt Reporting Advisers Must File Form Adv Part 1a

Form PF: Filing Deadlines Require Preparation

SEC Announces New Net Worth Standard for Accredited Investors

 

Webinars/Presentations

The Dodd-Frank Act – New Rules in the United States – August 31st, 2010 (PPT)

The New United States Rules Governing the Registration of Investment Advisers Under the Dodd-Frank Act – August 24th, 2010 (PPT)

A Fund Manager’s Overview to Dodd-Frank (PPTX)

Insider Trading & Whistleblowers – February 9th, 2011 (PPTX)