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Content about Adviser

February 24, 2012

Approximately five weeks before March 30thdeadline for mid-size Investment Advisory firms to deregister with the SEC and register with their principal states.  Both DC and VA encouraged their Investment adviser registrants to begin their process early; in order to avoid the rush, and address any issues that may arise.  Our initial plan was to bring you news from all three areas; DC, VA and MD.  However, several attempts to contact Maryland Securities Division were unsuccessful in landing an interview with either Deputy Commissioner, Dale Cantone or Melanie Sente

February 3, 2012

Approximately 55 days left, before the March 30thdeadline for mid-size Investment Advisory firms to deregister with the SEC and register with their principal states.  In Part I, of our article, we spoke with the Associate Commissioner for Washington D.C’s Department of Insurance, Securities, and Banking (DISB).  

January 27, 2012

March 30, 2012 marks a significant deadline for Investment Advisory (IA) firms throughout the nation.  Due to proposed regulations, which was derived, from Dodd-Frank (Wall Street Regulatory Reform and Consumer Protections Act), SEC has mandated that all mid-size IA firms deregister with the SEC and register with their principal states.