1/21/2013 | Content area:
More than nine in 10 advisory firms end their fiscal year with the calendar. This gives them 90 days to file their Form ADV update via the IARD. This ...
10/10/2011 | Content area:
The SEC is electing to not repeat its tiered filing fee system for the new exempt reporting advisers and for private fund advisers expected to submit ...
1/26/2011 | Content area:
Another day, another Dodd-Frank study from the SEC. This one satisfies lawmakers request that the agency consider ways to improve investors’ access to...
12/29/2010 | Content area:
Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The SEC's 2010 release adjusting fees for IARD filings.
12/03/2010 | Content area:
The SEC plans to hike IARD filing fees on registered investment advisers managing more than $100 million in assets in 2011 from the current level of $...
11/22/2010 | Content area:
The next time you update your Form ADV, Part 1 on the IARD you can expect to find several additional questions related to custody. These are part of t...
7/05/2010 | Content area:
If you haven't visited the Investment Advisers Public Disclosure website recently, you've missed a new addition: the opportunity to search for informa...
12/11/2009 | Content area:
You have to take the good with the bad, goes the old saying. After a three-year hiatus, the SEC in January will reinstitute filing fees for investment...
8/10/2009 | Content area:
It's happened before but the new waiver of investment advisory fees for new filings and annual Form ADV updates until next year comes at a good time. ...