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Searching Content indexed under Compliance by Peter Rosenblum ordered by Published Date Descending.
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Investment Adviser Important Dates And Reminders - January, 2012
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.
United States
30 Jan 2012
2
SEC Grants Extension of Compliance Date for Delivery of Part 2B of Form ADV
On December 28, 2010, the Securities and Exchange Commission (the "SEC") granted an extension to the deadline for complying with certain portions of the new Part 2, Form ADV requirements.
United States
6 Jan 2011
3
SEC Proposes Rules Implementing New Investment Adviser Registration Provisions
On November 19, 2010, the Securities and Exchange Commission (the "SEC") issued two sets of proposed rules relating to the implementation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
30 Nov 2010
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