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In December 2009, the SEC approved amendments to the custody rule under the Investment Advisers Act of 1940 and related forms. The amendments, among other things, require certain registered invest- ment advisers that have custody of client funds or …
https://www.iard.com/independent-public-accountants-guide-form-adv-e-surprise-examination-filing - 2016-06-21
©2017. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/adv-part-2-regulatory-user - 2016-06-21
©2017. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/state-queues-organizations - 2016-06-21
©2017. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/sec-registration-queues-organizations - 2016-06-21
©2022. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/form-adv-e - 2016-06-21
©2022 FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration or …
https://www.iard.com/form-adv-w - 2016-06-21
©2022 FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration or …
https://www.iard.com/form-adv-part-2 - 2016-06-21
Firm Queues provide notifications to firms concerning an action the SEC and/or state(s) have taken on a firm’s request for registration withdrawal or registration termination, in addition to updates to branch registration/notice filing status. These …
https://www.iard.com/firm-queues-organizations - 2016-06-21
©2022. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/iard-reports - 2016-06-21
©2022 FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration or …
https://www.iard.com/iard-view-organization - 2016-06-21