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IAPD - Investment Adviser Public Disclosure - Homepage
WEBIAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.
SEC.gov | Information Ab…
How To Obtain Information About Specific Investment Advisers. You can view a …
SEC.gov | How to Use th…
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin …
SEC.gov | Electronic Filin…
Welcome to the Investment Adviser Registration Depository (IARD) …
SEC.gov | SEC Proposes …
The Securities and Exchange Commission today proposed a new rule and rule …
SEC.gov | Check Your Inv…
Search your investment professional's background. Enter their name in our …
SEC.gov | Check Your Investment Professional
WEB6 days ago · Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a …
IAPD - Investment Adviser Public Disclosure - Homepage
WEB2 days ago · You can view an SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered adviser's most recent Form ADV online by clicking on the …
SEC.gov | Information About Registered Investment Advisers and …
WEBMay 3, 2024 · How To Obtain Information About Specific Investment Advisers. You can view a SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State …
How to Register With the SEC as an Investment Advisor
WEBMay 3, 2024 · The first step for registering with the SEC as an investment advisor is creating an Investment Advisor Registration Depository (IARD) account. The IARD is …
SEC.gov | How to Use the Investment Professional …
WEBAug 6, 2020 · The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to show investors how to use Investor.gov’s free and easy search tool to help you check out brokers and investment …
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Using IAPD | Investor.gov
WEBThe IAPD database provides information about investment adviser firms registered with the SEC and most state-registered investment adviser firms. The SEC typically regulates …
Investment Advisers | FINRA.org
WEBThe SEC regulates investment advisers who manage $110 million or more in client assets, while state securities regulators have jurisdiction over advisers who manage up to $100 …
IAPD - Investment Adviser Public Disclosure - Homepage
WEBIAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
SEC.gov | SEC Proposes New Oversight Requirements for …
WEBOct 26, 2022 · The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit registered …
SEC.gov | Electronic Filing for Investment Advisers on IARD
WEBOct 12, 2017 · Welcome to the Investment Adviser Registration Depository (IARD) Homepage with current information about IARD, electronic filing and related information …
Check Out Your Investment Professional | Investor.gov
WEBThere you can find out if your investment professional and his/her firm is licensed with the SEC, with a state (s), and/or with FINRA (the Financial Industry Regulatory Authority). …
Providing Regulatory Compliance Consulting | SCA
WEBWe have been offering regulatory services to investment adviser clients since 1997. Our full range of services include registration, development of compliance programs, on-going …
Form ADV | Investor.gov
WEBForm ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are …
IAPD - Investment Adviser Public Disclosure - Homepage
WEBIAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.
SEC's Private Fund Advisers Rule Struck Down by Fifth Circuit
WEB1 day ago · The Fifth Circuit Court of Appeals (Fifth Circuit) today issued its ruling striking down the “Private Fund Advisers Rule” (the “PFA”). The proposed PFA was introduced …
HBW Advisory Services LLC | HBW Partners
WEBHBW Advisory Services LLC is an SEC Registered Investment Advisory Services Firm. HBW believes that no single investment philosophy is right for everyone. Further, we …
5th Circuit Strikes Down SEC's Private Fund Advisers Rule
WEB1 day ago · Steve Lash. A federal appeals court Wednesday struck down the U.S. Securities and Exchange Commission’s months-old rule regarding private fund …
Investment Adviser Registration | Investor.gov
WEBThe SEC’s Office of Investor Education and Advocacy is providing information to investors about the rules for registering with a government regulatory authority that apply to …
Miccal Jackson, Financial Advisor in Simi Valley, CA - U.S. News
WEBFor more detailed information on Miccal Jackson’s conduct, please visit Finra’s BrokerCheck, the SEC’s Investment Adviser Public Disclosure database, or your state’s …
IAPD - Investment Adviser Public Disclosure - Homepage
WEBIAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.
U.S. appeals court rejects SEC oversight rule for private equity, …
WEB19 hours ago · The New Orleans-based 5th U.S. Circuit Court of Appeals decided that the SEC exceeded its authority by adopting the rule in August 2023. It ruled in favor of six …
US appeals court strikes down SEC private equity, hedge fund …
WEB19 hours ago · The New Orleans-based 5th U.S. Circuit Court of Appeals decided that the SEC exceeded its authority by adopting the rule in August 2023. It ruled in favor of six …
SEC Hedge Fund Fee Disclosure Rule Struck Down by US Court
WEB19 hours ago · June 5, 2024 at 10:05 AM PDT. Listen. 4:18. A federal appeals court struck down the US Securities and Exchange Commission ’s rules requiring hedge funds and …
Broker-Dealers Take Note: Here's What Triggers an SEC Exam
WEB16 hours ago · By Melanie Waddell. The Securities and Exchange Commission warned broker-dealers Wednesday in a new Risk Alert that prior disciplinary history as well as …
After SEC lawsuit, former Jacksonville investment adviser …
WEB1 day ago · The SEC lawsuit said that GraySail, which reported managing just $10 in assets, signed a deal in 2019 to take over an investment adviser business in Dothan, Ala., …
SEC Charges Securities Professionals and Traders in …
WEBFeb 24, 2011 · The SEC’s complaint charges Ficeto, Homm, Heatherington, HWM, and Hunter Advisors LLC with violating the antifraud provisions of the federal securities laws, …
US appeals court accepts broad definition of securities ‘dealer’ in ...
WEB6 days ago · For the second time this year, the 11th U.S. Circuit Court of Appeals has accepted the U.S. Securities and Exchange Commission’s expansive view of who must …
IAPD - Investment Adviser Public Disclosure - Homepage
WEBIAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.
WEBFor advisers with actual constructive custody, the annual surprise examination increases protections against fraud and abuse. Fee deduction is common to advisers with …
US Appeals Court Overturns SEC Oversight Rule for Private …
WEB18 hours ago · The New Orleans-based 5th U.S. Circuit Court of Appeals decided that the SEC exceeded its authority by adopting the rule in August 2023. It ruled in favor of six …
SEC to Shutter Salt Lake Regional Office | ThinkAdvisor
WEB1 day ago · By Melanie Waddell. The Securities and Exchange Commission said Tuesday that it will close its Salt Lake Regional Office later this year, reducing its regional footprint …
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