On April 25, 2016, the SEC issued a no-action letter to the Investment Advisers Association clarifying its views on the application of Rule 206(4)-2 under the Advisers Act (the Custody
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investment advisors
Leap Year Impacting Regulatory Filing Dates for Investment Advisers
By Richard M. Cutshall on
Posted in Regulatory Compliance
As a reminder, Rule 204-1 under the Investment Advisers Act of 1940 requires that all investment advisers amend their Form ADV filing at least annually, and do so within 90…
Continue Reading Leap Year Impacting Regulatory Filing Dates for Investment Advisers