IAR REGISTRATIONS
2B Item requiring disclosure of any arbitrations and regulatory proceedings.
What is Item 7.
Over 100M in RAUM requires this type of registraion.
What is SEC.
Annual Amendment.
What is 90 days from the firm's fiscal year end.
Used to open an exam window.
What is the Form U4.
The Code of Ethics defines this.
What is the firms standard of conduct for supervised persons.
I work in MA but have a client in TX What must I do.
What is a IAR Notice Filing.
Documents required to be filed through IARD/CRD to register a state firm.
What is the ADV1, 2A, 2B.
Initial 13F filing.
What is 45 days from year end of the year the firm crossed the threshold required filing.
Used to terminate an IAR.
What is a Form U5.
Rule that firms must address regarding political client relationships.
What is the SEC Pay to Play Rule.
MA requires this background form to be completed as part of the registration process.
What is a CORI Form.
Documents required to be filed through IARD/CRD to register an SEC firm.
What is the ADV1, 2A, Form CRS.
Annual Renewal Fees
What is December 11th.
Describes your advisory firm, including how long you have been in business and your principal owners.
What is the Form ADV Part 2A.
This is due within 10 days of hire.
What are initial holdings.
FL requires this additional form to be submitted as part of the registration process.
What is the Oath of Affirmation.
Amount of RAUM a firm domiciled in NY must have to register with the SEC.
What is over 25M.
Annual 13H filings.
What is within 45 days after the end of each calendar year.
Filed to close down an RIA.
What is an ADVW.
Investments requiring pre-approval.
What are IPOs or limited offerings.
Spending over 2 weeks in this state requires the IAR to register in that state.
What is Florida.
An adviser provides investment advice to all of its clients exclusively through an interactive website is exempt from registration.
What is an internet only RIA.
Form N-PX.
What is no later than August 31st of each year.
If the supervised person has been the subject of a bankruptcy petitiion, disclose this fact, the date the petition was first brought, and the current status.
IAR Personal Brochure/2B for a state registrant.
Definition of an Access Person.
Any supervised person:
Who has access to nonpublic information regarding any client purchase or sale, or nonpublic information regarding holdings of any reportable fund
Who is involved in making securities recommendations to clients, or who has access to such recommendations that are nonpublic.