alerts.advisorassist.com
FINRA SAA Deadline - 12/12/15 ~ Compliance Advantage
http://alerts.advisorassist.com/2015/02/finra-saa-deadline-121215.html
Wednesday, February 11, 2015. FINRA SAA Deadline - 12/12/15. Stay up to date on Advisor requirements with AdvisorAssist. We welcome you to stay in touch by connecting on our social media channels. There was an error in this gadget. New Jersey Investment Adviser. New Jersey Investment Advisor. SEC to State Transition. FINRA SAA Deadline - 12/12/15. Colorado Division of Securities reminds investors . MA Securities Division - Compliance Training March. There was an error in this gadget.
alerts.advisorassist.com
Annual ADV Amendment - Due March 31st ~ Compliance Advantage
http://alerts.advisorassist.com/2015/03/annual-adv-amendment-due-march-31st.html
Tuesday, March 31, 2015. Annual ADV Amendment - Due March 31st. Stay up to date on Advisor requirements with AdvisorAssist. We welcome you to stay in touch by connecting on our social media channels. There was an error in this gadget. New Jersey Investment Adviser. New Jersey Investment Advisor. SEC to State Transition. Annual ADV Amendment - Due March 31st. There was an error in this gadget. 169; 2011. AdvisorAssist.com.
alerts.advisorassist.com
FINRA E-Bill Enhancements (Refunds & Alerts) ~ Compliance Advantage
http://alerts.advisorassist.com/2014/11/finra-e-bill-enhancements-refunds-alerts.html
Tuesday, November 4, 2014. FINRA E-Bill Enhancements (Refunds and Alerts). FINRA is finally adding some needed features to their E-Bill system. Effective November 4, 2014, FINRA has updated E-Bill to allow entitled users to request a refund from the Advisor's Flex-Funding Account via E-Bill. As always, if you have any questions, please email us at support@advisorassist.com. Posted in: Annual Renewal. There was an error in this gadget. New Jersey Investment Adviser. New Jersey Investment Advisor.
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Colorado Division of Securities reminds investors to discuss cybersecurity with their financial professionals ~ Compliance Advantage
http://alerts.advisorassist.com/2015/02/olorado-division-of-securities-reminds.html
Tuesday, February 10, 2015. Colorado Division of Securities reminds investors to discuss cybersecurity with their financial professionals. Cybrsecurity is quickly becoming one of the largest risks to your firm. Here's a communication that Colorado is sending to the general public. This really applies to all advisors across all states. Colorado Division of Securities reminds investors to discuss cybersecurity with their financial professionals. Does the firm maintain insurance coverage for cybersecurity?
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December 2013 ~ Compliance Advantage
http://alerts.advisorassist.com/2013_12_01_archive.html
Thursday, December 19, 2013. Colorado Securities Commissioner Sanctions UBS Financial Services Inc. Regarding Unlicensed Sales Assistants. For Immediate Release – December 18, 2013. Contact: Fred Joseph, Banking and Securities Commissioner or Gerald Rome, Deputy Securities Commissioner at 303-894-2320. Colorado Securities Commissioner Sanctions UBS Financial Services Inc. Regarding Unlicensed Sales Assistants. As part of the settlement, UBS has been censured and ordered to cease and desist from future vi...
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MA Securities Division - Compliance Training March 19, 2015 ~ Compliance Advantage
http://alerts.advisorassist.com/2015/02/ma-securities-division-compliance.html
Friday, February 6, 2015. MA Securities Division - Compliance Training March 19, 2015. Attention MA State Advisors. The Massachusetts Securities Division is hosting a training session on MA requirements for state advisors on March 19, 2015. Chris Winn from AdvisorAssist will be in attendance to assist with any questions you may have pertaining to your firm. Details below. Dear Investment Adviser: The Registration, Inspections, Compliance and Examinations (RICE) Section of the Massachusetts Securities Div...
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November 2013 ~ Compliance Advantage
http://alerts.advisorassist.com/2013_11_01_archive.html
Friday, November 22, 2013. California mandates dedicated email. On November 22, 2013, the California Department of Business Oversight ("DBO") issued an order to all advisors registered in California requiring a dedicated email address for communications with the Advisor. By January 4, 2014. All advisory firms registered with the State of California must comply. Here are the details. Email must be dedicated to compliance matters and cannot be used publicly. It can be an address of your choosing. The regis...
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FINRA Security Update - Changing Administrator (SAA) ~ Compliance Advantage
http://alerts.advisorassist.com/2014/11/finra-security-update-changing.html
Tuesday, November 18, 2014. FINRA Security Update - Changing Administrator (SAA). Below is a summary of the FINRA communication. Effective November 19, 2014, FINRA will implement new controls to enhance the security of the entitlement process for firms seeking to replace their Super Account Administrator (SAA) or update a current SAA’s information. If your firm is not seeking to change its SAA or update the name or email address of the current SAA, no action is required at this time. For more information...
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October 2014 ~ Compliance Advantage
http://alerts.advisorassist.com/2014_10_01_archive.html
Monday, October 13, 2014. Ready, Set, Renewals. Hello Advisors, it's about that time of year again for your advisory firm's Annual Renewal ADV filing! To help get your firm prepared for the renewal season please view the 2015 Renewal Program Calendar. Where FINRA notes key dates regarding the Renewal Process. Key dates to note include:. When your Renewal Fee Statements will become available: November 10, 2014. When your Preliminary Renewal Statement Payments are due: December 12, 2014.
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February 2014 ~ Compliance Advantage
http://alerts.advisorassist.com/2014_02_01_archive.html
Monday, February 3, 2014. Reminder - ADV Amendments! Just a friendly reminder. Annual ADV amendments are due on March 31, 2014. Please complete your online questionnaire as soon as possible to ensure a timely filing. If you have any questions, please email us at support@advisorassist.com. Saturday, February 1, 2014. Minnesota IAR Registration window is closed. Minnesota issued an update to all Minnesota Registered Investment Advisors on February 6, 2014. Issued on October 31st, 2013. To date, close to 10...
