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Adviser Registration; Regulatory Jurisdiction

Recorded on: Jul. 18, 2013
Running Time: 01:07:14

Full Transcript:


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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2013 recorded July, 2013 in New York.

Lecture Topics  [01:07:14]

Adviser Registration; Regulatory Jurisdiction  [01:07:14]
  • State regulation
  • The interplay between the SEC and the states
  • Registration as an Adviser: The Form ADV
  • Registration of Associated Persons
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Introduction to the Investment Advisers Act
    Clifford E. Kirsch
  • State Registration of Investment Advisers
    G. Philip Rutledge
  • Form ADV: Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers
    Clifford E. Kirsch

Presentation Material

  • Adviser Registration; Regulatory Jurisdiction
    Clifford E. Kirsch
  • Adviser Registration; Regulatory Jurisdiction
    G. Philip Rutledge
Speaker(s)
Clifford E. Kirsch ~ Sutherland
G. Philip Rutledge ~ Bybel Rutledge LLP
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