SEC Registered Investment Adviser Compliance Manual- Advertising & Marketing Investment Adviser The 2019 Investment Adviser Year-End

The 2019 Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements

as well as provide information on market holidays and events that may affect investment adviser business operations

Members also downloaded Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02

The Small Firm Broker-Dealer Annual Compliance Meeting & Training Packet serves as a ready-made template to help small firms meet the requirements under FINRA Rule 3110(a)(7)

Updated version at The Updated 2021 Investment Adviser Year-End Compliance Checklist

SEC Registered Investment Adviser Compliance Manual- Advertising & Marketing Investment Adviser The 2019 Investment Adviser Year-EndThe Investment Adviser Written Supervisory Procedures Section on Advertising and Marketing serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate sections and exhibit list that help firms outline