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Filing Fees Investment Adviser

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers due by December 11, 2023

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As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 11, 2023 in order to cover such fees (with a recommendation from...more

UB Greensfelder LLP

Filing A Frivolous Customer Arbitration Carries Real Monetary Risks

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While the FINRA arbitration system certainly is not perfect – just see Alan’s troubling blog from last week regarding the Motion to Vacate that was granted by a Judge in Atlanta – we like to think that when cases go to...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 14, 2020

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As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 14, 2020 in order to cover such fees (with a recommendation from...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - January 2020

In this issue, we summarize regulatory, litigation and industry developments from October 2019 to early January 2020 impacting the investment management sector, including SEC action on use of derivatives by registered...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 16, 2019

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As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 16, 2019 in order to cover such fees (with a recommendation from...more

Goodwin

Financial Services Weekly News: OCIE Issues Risk Alert On Investment Adviser Principal And Agency Cross Trading Compliance

Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) issued a risk alert on investment adviser principal and agency cross trading compliance issues, published disclosure interpretations relating to the Inline XBRL...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC Enforcement Actions, Filing Fees and CFTC Committee Updates

SEC/CORPORATE - Federal Court Rules Investment Fund is 10 Percent Owner in Section 16 Case - On August 20, a federal magistrate judge in the Eastern District of New York granted a motion for summary judgment in a...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 17

Foley Hoag LLP on

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 17 in order to cover such fees (with a recommendation from IARD to...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 18

Foley Hoag LLP on

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 18 in order to cover such fees (with a recommendation from IARD to...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 18

Foley Hoag LLP on

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 18 in order to cover such fees. This deadline applies to the following...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 12

Foley Hoag LLP on

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 12 in order to cover such fees. This deadline applies to the following...more

Foley Hoag LLP

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 13

Foley Hoag LLP on

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by this Friday, December 13 in order to cover such fees. This deadline applies to the...more

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