| Industry Insight |
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Delivering quality results requires a high level of industry knowledge and experience relating to current regulatory events,
compliance standards and industry best practices. It demands constant industry research and a systematic preservation of
insight gained through our work with clients. A direct result of our knowledge and experience is something we call Thought
Leadership, our body of intellectual capital. While much of it is proprietary, there is also much that we are committed to
sharing with the larger financial services community. It is our hope that you will find our information and perspectives useful
toward the application of industry methodologies and best practices.
If you would prefer to receive printed copies of the articles and research below by mail, or email notifications of new articles
and research published by our associates, please click here to register for our Articles &
Research Notification Service.
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Broker/Dealer Articles & Research
Investment Adviser Articles & Research
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| Broker/Dealer Articles & Research* |
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Read the updated 2008 list of select state regulatory agencies requiring broker/dealer annual audited financial statements.
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Learn the fundamentals behind preparing written supervisory procedures to potentially increase a firm's ability to detect and deter violations
while mitigating risk and exposure to disciplinary action.
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Stay current with key regulatory requirements, filing due dates, effective dates of recent rule changes, and dates of NASD broker-dealer
conferences and seminars.
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An updated guide for the preparation and filing of audited financial statements with various state regulatory agencies.
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Due to an increase in broker/dealer outsourcing activities, NASD reminds member firms of the regulatory requirements when outsourcing to third-party
services providers.
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An annual compliance conference presentation on broker/dealer sales practices involving variable annuity products and key regulatory considerations in the
broker-client sales process.
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A guide for the preparation and filing of audited financial statements to state regulatory agencies.
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Financial Registrations, Inc. suggests modifications to the proposed amendments to NASD Rule 3010 to require heightened supervision plans for associated persons
with a specific threshold of industry/regulatory-related events.
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Understanding the new supervisory considerations for implementing the Joint Final Rule Requirements under Section 326 of the USA PATRIOT Act.
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NASD proposes business continuity plans and emergency contact information, pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act
of 1934.
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| Investment Adviser Articles & Research* |
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A focus on the regulatory requirements for investment adviser business continuity plans and how rapid recovery strategies can improve
a firm's competitive edge.
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The SEC has adopted certain amendments to Rule 206(4)-2 (Custody Rule) which regulate the custody practices of investment advisers registered under the
Investment Advisers Act of 1940.
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A presentation conducted during the NASAA 2003 Investment Adviser Training Seminar outlining the completion of the Form ADV as well as highlights of some
of the frequently misinterpreted sections and key cross-reference points between Form ADV Part I & II.
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| *Please Note |
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| Download the Adobe Reader |
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To view any of the above documents in Adobe PDF format (denoted by this symbol:  ),
you must have the Adobe Reader (Version 5 or later) installed on your computer. If you do not have a current version of the Adobe Reader,
you can download it free from Adobe by clicking here,
or by clicking the Adobe icon on the right.
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