Knowledge Base

Who must prepare the Appendix 1?


Search Knowledge Base by Keyword

Created On
byRCC
< Back

The registered investment adviser responsible for sponsoring and administering the program must prepare Appendix 1. Usually the sponsor of a wrap-fee program will also be registered as a broker/dealer or affiliated with a registered broker/dealer. However, independent registered investment advisors also sponsor wrap-fee programs through unaffiliated broker/dealers such as discount broker/dealers.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.