ADV Deadlines In Flux For State-Registered RIAs In Many Parts Of The Country

Monday, April 04, 2011 00:13
edit
ADV Deadlines In Flux For State-Registered RIAs In Many Parts Of The Country

Tags: sec

While the SEC deadline for the "plain language" ADV has come and gone, smaller RIAs have found that their state is willing to take the paperwork in July, August, or even beyond.

This Website Is For Financial Professionals Only


 

Texas, Pennsylvania, Michigan, Kentucky, Colorado...the list of state securities regulators that have pushed back the March 31 deadline to give local advisors more time to fill out the forms is pretty long.

 

Great piece in Investment News on the topic.

 

 

 

Comments (0)

Write comment

You must be logged in to post a comment. Please register if you do not have an account yet.

busy