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IA Registration: Eligibility (11)
Your search for IA Registration: Eligibility returned 11 results.
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2/14/2019 | Content area: Investment Adviser
Ajenifuja Investments, we hardly knew ya.   Kevin Ajenifuja hoped to launch an internet advisory firm so, in 2015, he registered the firm with the SEC...
7/25/2017 | Content area: Investment Adviser
This matter involves violations of the Advisers Act by Bradway Financial, a Commission-registered investment adviser, Bradway Capital, an investment a...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Form ADV. To apply for registration with the Commission as an investment adviser, you must complete Form ADV by following the instructions in the...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Form ADV-W. You must file Form ADV-W to withdraw from investment adviser registration with the Commission (or to withdraw a pending registration ...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Eligibility for SEC registration of mid-sized investment advisers. If you are an investment adviser described in section 203A(a)(2)(B) of ...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
For purposes of section 203A of the Act (15 U.S.C. 80b-3a) and the rules thereunder: (a)(1) Investment adviser representative. “Investment adviser re...
10/02/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 203 -- Registration of Investment AdvisersNecessity of registration. Except as provided in subsection (b) a...
3/20/2013 | Content area: Investment Adviser
The outline that follows is divided into five sections, each of which addresses a different question: Who is an “investment adviser?” Which investment...
3/30/2012 | Content area: Investment Adviser
Sections 205(a)(2) and (3) of the Advisers Act generally prohibit registered advisers, and advisers required to be registered, from entering into, ext...
10/04/2010 | Content area: Investment Adviser
It's estimated more than 4,000 firms - or about 1/3 of SEC-registered RIAs - will transfer to state registration by next July. To help firms with the ...


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