Investment Adviser Workshop: the New Form ADV Part
Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch The IA SwitchSo Far Richard Jaramillo Examiner The IA Switchso
far History of AUM threshold National Securities Markets Improvement Act of 1996 (NSMIA) Why the Switch? Challenges Staffing Streamlining the Review Process
The IA Switchso Implementing Dodd-Frank far TIME FRAME OVERSITE OF INVESTMENT ADVISERS November 2010
Propose rules implementing the exemptions from registration for advisers to venture capital firms and for certain advisers to private funds. (Division adopted its own rule earlier this year) November 2010 Propose rules and changes to forms to implement the
transition of mid-sized investment advisers ($25 to $100 million in assets under management) from SEC to State regulation. Jan Mar 2011 Propose (with CFTC) rules to implement reporting obligations on advisers related to the assessment of systemic risk.
Jan Mar 2011 Propose rules to adjust the threshold of qualified client Apr July 2011 Adopt rules The IA Switchso
far Coordination between NASAA and the SEC ongoing Submit Questions on NASAA.org IA Switch Resources Guidance Coming Soon The IA Switchso
far NASAA.org The IA Switchso far NASAA.org The IA Switchso far
NASAA.org For more information, please call (801) 530-6600
I Welcome Refugees Training Presentation and Facilitation Notes. Content Warning. While the content of this presentation and supporting materials should be suitable for all audiences, it is important to be aware that participants may be either directly or indirectly affected...
Wall Plaque, from Oba's Palace ... 1680 CE Brass Edo peoples 49.5 x 41.9 x 11.4 cm Used hierarchical scale Shows Oba with attendants Being shaded Only person who can be shaded in this way Oba=Ruler Stele of Naram-Sin Uses...
Written by Peter Berg ... - Merriam Webster Online "If they trivialize the exalted, pull the trousers down on snobbery, if they expose society for its tyranny, folly, and greed, and get people to laugh, then maybe things will change."...
"Rolling" is the PeopleSoft/UTShare terminology for moving an open encumbrance from the current Fiscal Year into the coming Fiscal Year. When all payments will NOT be completed in the current fiscal . year.
Metaphylaxis. The analysis indicates net return value of metaphylaxis to the cattle feeding industry adds up to $532 million to $680 million per year. Are vets better than medics? So, apart from the obvious answer. Animal Reduction 2013-2017 = 37%.
The MSEP job portal is a job search engine specifically for military spouses. By entering the city, state and country of residence, spouses can browse through available jobs in the area. An advanced search allows spouses to search for a...
Final Area I I Pre-Delivery No Market Constraint ... Internal Supplier ASRS Marketplace 1.5 hours Shipping Marketplace Pull Flow Customer Order & Pick-up Center Driving School Driving Test Track Spirit of Ford I Pre-Delivery 1 Hour Heritage Future 1928 Improved...
Ready to download the document? Go ahead and hit continue!