integralfinancialpc.com
ResourcesIntegral Financial, PC | Integral Financial, PC
http://integralfinancialpc.com/resources
The following are a list of Resources. SLD Table of Contents: Securities Lawyer’s Deskbook. Published by The University of Cincinnati College of Law. US Securities and Exchange Commission. Investment Adviser Registration Depository (IARD). Information for Newly-Registered Investment Advisers. How To Access IARD (Investment Adviser Registration Depository). IARD System Frequently Asked Questions (FAQs). SEC Division of Investment Management. SEC Office of Compliance Inspections and Examinations.
compliglobe.com
Useful links – CompliGlobe
http://compliglobe.com/useful-links
44 208 458 0152. 41 22 548 0568. SEC Registration & Filing. Hedge fund regulation & compliance. Please click on a link to access another web site. Materials available through links or hyperlinks are located on servers other than ours. We do not endorse any other the web site, materials, policies or procedures on or of any other web site or the provider(s) of same. When you click on a link, you are leaving our web site. Thanks for using us! US Securities and Exchange Commission. Leave a Reply Cancel reply.
cottlawgroup.com
Blog
http://cottlawgroup.com/blog
Real Estate Funds / Syndicates. July 18, 2016. Alert: SEC Increases Qualified Client Threshold. Has at least $1,000,000 under the management of the investment adviser immediately after entering into the contract; or. As a result, SEC registered investment advisers and certain state registered and exempt advisers subject to the qualified client requirement will need to consult with counsel and update their advisory agreements and fund offering documents prior to the effective date. Please do not hesit...
fairviewinvest.com
Helpful Links
http://www.fairviewinvest.com/Links.aspx
Helpful Links for your Business. Raquo; Securities and Exchange Commission (SEC). Raquo; North American Securities Administrators Association (NASAA). Raquo; Financial Industry Regulatory Authority (FINRA). Raquo; Investment Adviser Registration Depository. SEC Rules and Regulations. Raquo; Investment Advisers Act of 1940. Raquo; Rules under the Investment Advisers Act of 1940. Raquo; Investment Company Act of 1940. Raquo; Rules under the Investment Company Act of 1940. Phone: 919.706.4100.
advisorguidance.com
Advisor Guidance – Industry Links
http://advisorguidance.com/ria-industry-links
Tel 603 430 8317. December 16th, 2013. Securities and Exchange Commission (SEC). The Financial Industry Regulatory Authority (FINRA). The North American Securities Administrators Association (NASAA). Listing of State Regulatory Agencies. US Commodity Futures Trading Commission. Chicago Board Options Exchange, Incorporated (CBOE). Office of Foreign Assets Control. Municipal Securities Rulemaking Board’s (MSRB). Investment Adviser Registration Depository (IARD). FINRA Central Registration Depository (CRD).
elliottfinancialplanning.com
Elliott Financial Planning - Credentials
http://www.elliottfinancialplanning.com/Pages/Credentials.html
It is important to check the licenses and credentials of any financial advisor because anyone can call themselves a financial planner. Unfortunately, theres no minimum amount of experience or education required. Furthermore, even financial planners that, on paper, have lots of credentials and an impressive educational background may have conflicts of interest. Thats why Ive chosen to be Fee-Only.. Below is a listing of credentials and affiliations of Bret Elliott, C.
ficassociates.com
Industry News - Financial Industry Consulting Associates, LLC
http://www.ficassociates.com/industry-news
Keep up to date on financial industry news. And the regulatory authorities through these resource links:. SIFMA Statement on SEC MCDC Enforcement Action. SIFMA Market Close Recommendation for Labor Day in the U.S., the UK and Japan. SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative. Source: U.S. Securities and Exchange Commission (SEC). Apollo Charged With Disclosure and Supervisory Failures. Source: U.S. Securities and Exchange Commission (SEC). Kristin Snyder Named Co-Head of SEC’s In...
jerseybenefits.com
Jersey Benefits Group, Inc.
http://www.jerseybenefits.com/regulatoryinformation_view.php?Regulation-1
The following links will take you to the various regulatory agencies dealing with the securities industry. Licensing and other pertinent information can be obtained regarding broker/dealers, Registered Representatives and Registered Investment Advisors. Securities and Exchange Commission. Financial Industry Regulatory Authority (FINRA). Investment Advisor Registration Depository. Securities Investors Protection Corp. (SIPC).
mainstaycg.com
MainStay Consulting Group: Client Resourcesient Resources
http://www.mainstaycg.com/resources.htm
John L. Shields. Securities and Exchange Commission (SEC). The Financial Industry Regulatory Authority (FINRA). The North American Securities Administrators Association (NASAA). US Commodity Futures Trading Commission. Chicago Board Options Exchange, Incorporated (CBOE). Office of Foreign Assets Control. Municipal Securities Rulemaking Board's (MSRB). Investment Adviser Registration Depository (IARD). Investment Adviser Public Disclosure WebSite (IAPD). FINRA Central Registration Depository (CRD).
