Investment Adviser Compliance Update - Spring 2006

Posted on March 30, 2006 by Stark & Stark
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Stark & Stark's Investment Adviser Regulation group is pleased to announce that the latest Investment Adviser Compliance Update has been published and is available for download. The Spring 2006 edition covers topics including:

SEC's New Examination Request List for RIAs
Branch Office Registration Deadline
13(f) Securities
April Deadline for Rule 206(4)-7
SEC Policies and Procedures Rule

You can download a copy of the latest Investment Adviser Compliance Upate here (PDF).


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