RIA Compliance Consultants, Inc.

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Event Series State Registered Firms – Verify Whether Annual Financial Statement Must Be Submitted to State Regulator

State Registered Firms – Verify Whether Annual Financial Statement Must Be Submitted to Regulator

Along with paying annual renewals via IARD system and updating your Form ADV Annual Amendment, it’s important to remember that many state securities regulators also require a state registered investment adviser firm to submit an annual financial statement and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if […]

Event Series Form N-PX Deadline

Form N-PX Deadline

If your investment adviser firm is required to file Form 13F, please be aware that your firm is now required (subject to certain exceptions) by the United States Securities and Exchange Commission ("SEC") to file an annual report on Form N-PX by August 31, 2024. This report will cover the most recent 12-month period ending […]