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SEC Core Examination Steps for Investment Advisors
Rule 206(4)-7 of the Investment Advisors Act of 1940 requires investment advisors to adopt and implement written policies and procedures, based on the size and scope of their business. These policies and procedures must be tested at least annually. This test should include a risk assessment and an evaluation of their continued adequacy for your current business model. |
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Registered Investment Advisors Reminders
With 2009 beginning, this is a good time of year to review your compliance files to be certain you have current and documented information about your firm’s practice. Here is a checklist to help with that review. |
Provided By: Renee Hall |
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Additions/upgrades available with QuickBooks 2009
In September 2008, the QuickBooks 2009 Version was released. Some of the highlighted benefits of this upgraded edition are: |
Presented by: Danielle Paul
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Non-registered employees - What can they do?
A question we are asked quite frequently by our clients is what activities a non-registered employee can conduct on behalf of the broker dealer. Any employee who has not passed a qualifying exam with FINRA, including administrative assistants and a Registered Representative’s secretary, can not engage in the following activities: |
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Advertising Tips for Registered Investment Advisors
What is an Advertisement? The Securities and Exchange Commission (“SEC”) Rule 206(4)-1 defines “advertising” as “any notice, circular, letter or other written communication addressed to more than one person, or any notice or other announcement in any publication or by radio or television, which offers (1) any analysis, report, or publication concerning securities, or which is to be used in making any determination as to when to buy or sell any security, or which security to buy or sell |
Provided By: Renee Hall |
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Ending Your Fiscal Year
Just when we put away the holiday boxes, it is time to bring down different boxes. These boxes, often called banker’s boxes, do not contain any gifts or fantastic sweets. Yes, that’s right, it is time to wrap up 2008 to make way for 2009…Is that easier said than done? Ending your fiscal year requires a few more steps than taking a trip to Staples. Let’s grab your financial statements and take a look at a few basic things. |
Provided By: Danielle Paul |
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_______________________________ |
Employee Spotlight
Regulatory Compliance welcomes
our newest team members
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Nathan Jodat
Compliance Programs Director
Nathan develops products
and tools to assist in tracking
critical compliance deadlines including developing AML,
mock,
and branch exam
modules.
Series licenses:
3, 7, 9, 10, 63, 65
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The Compliance Exchange -
Online Store Delivers Quality Securities Exam Preparation
When you’re preparing for a securities licensing exam, you want easy access to high quality materials to gain the confidence and knowledge needed to pass. The Compliance Exchange, our new online store, offers premium exam preparation textbooks and software that are designed for this purpose. Check out our online offerings of comprehensive, well-written exam preparation materials. You can also: Preview a detailed table of contents and sample chapter for each textbook, take a trial exam by downloading a software demo, and, view sample questions and screenshots.
www.ComplianceXchange.net |
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