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ADV Part II Adopting Release IA-3060 October 12, 2010
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Feb/07/2012
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Blog section in SEC Release 34-58288- August 8, 2008
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Jun/20/2011
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Feb/27/2012
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Brochure Legend required by ADV
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148 KB
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Feb/07/2012
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572 KB
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Apr/29/2002
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295 KB
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Jul/18/2011
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Consolidating portfolio data constitutes IA activity
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293 KB
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Jun/24/2013
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617 KB
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Apr/30/2015
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Apr/30/2015
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Family Office Exception from Definition for all Investment Advisor Purposes
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Oct/18/2010
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Financial Planner FPS Consultants, Ltd. Apr. 06, 1976 FP Giving Advice Incidentally probably required to Regiter 78 CCH Dec 81266 SEC 1976
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37 KB
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Apr/29/2002
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144 KB
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Apr/23/2002
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Fingerprint providers - Live Scan Service Providers in FL
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PDF
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385 KB
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Apr/30/2015
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Florida Criminal Back Ground Search for IA
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Apr/30/2015
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PDF
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144 KB
|
Apr/30/2015
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Florida Fingerprint Services
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383 KB
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Apr/30/2015
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Form ADV - Civil Judicial Action Disclosure - 3-00-10
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124 KB
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Jun/22/2010
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Form ADV - Criminal Disclosure - 3-00-10
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Jun/22/2010
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1.37 MB
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Jun/22/2010
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Form ADV - Part 1A - 3-00-10
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Jun/22/2010
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Jun/22/2010
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Jun/22/2010
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Jun/22/2010
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Jun/22/2010
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Form ADV - Schedule D - 3-00-10
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262 KB
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Jun/22/2010
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Apr/03/2006
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Apr/03/2006
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161 KB
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Apr/03/2006
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Form ADV - Uniform Application - From SEC Site
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451 KB
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Feb/14/2006
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Form ADV Part 2 - Exp 8-31-14 from SEC.gov on 2-20-14
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271 KB
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Feb/20/2014
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Feb/15/2008
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1.86 MB
|
Feb/17/2012
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Form ADV Part I and II Links (2)
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57 KB
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Feb/17/2012
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Form ADV Part I and II Links
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57 KB
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Feb/17/2012
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Form ADV Part II - Connecticut Commentary and Info
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156 KB
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Feb/10/2012
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Form ADV Part II - IARD Instructions
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43 KB
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Feb/10/2012
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Form ADV Part II 7-31-08
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210 KB
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Feb/01/2006
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53 KB
|
May/24/2012
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Form PF and Exemption or ADV registration requirements
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84 KB
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May/05/2014
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Form U-10 Exam Application for NonFINRA Candidates, Instructions
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34 KB
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May/23/2011
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Form U-4 Instructions
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198 KB
|
Feb/15/2004
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16 KB
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Jul/11/2013
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Hedge Fund Manager Registration for Managers of More than 1 Fund - Superceded by 6-22-11 Dodd Frank Rules
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Jul/06/2006
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IA Release by NASAA For State Advisors
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30 KB
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Feb/26/2006
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IA-NASD Entitlement Modification, CRD Part, Web CRD
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315 KB
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Mar/08/2006
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IARD - FINRA Step by Step Guide to filing ADV Part 2
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607 KB
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Jan/13/2011
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IARD - How to create multipe users by Security Admin 3-10-1133 am
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13 KB
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Mar/12/2014
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IARD State Registration Fees
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PDF
|
45 KB
|
Jun/19/2013
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IL SOS - Instructions for Registration as an Investment Advisor
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PDF
|
336 KB
|
Jan/13/2011
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Illinois ADV State Filing Instructions
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145 KB
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Feb/15/2004
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Illinois Examination Requirements
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35 KB
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Feb/15/2004
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Illinois IA Registration - Check Chart
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37 KB
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Apr/24/2002
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Illinois IA Registration - Documents Required
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Apr/12/2004
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Jun/23/2011
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28 KB
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Apr/23/2002
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Apr/23/2002
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Illinois Section 2.11 Definition of IA 2.12, 2.12 b, IA rep, SEction 8 Exemptions, Regs 130.805
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Apr/23/2002
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Incorporation or LLC Formation Checklist - 3-16-10
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Feb/17/2011
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Intent and the Advertising Rule for Investment Advisers - Article
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17 KB
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Jun/17/2011
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Investment Adviser Compliance Steps Letter from SEC May 1, 2000 with lists and Links
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Jun/07/2006
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Investment Adviser Compliance Update 1-23-13 Sidley Memo
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PDF
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242 KB
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Jun/24/2013
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Investment Adviser Registration of Fund Managers - Look through Fund to Investors Struck Down - Goldstein Case 6-23-06
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Investment Adviser State Exemptions Summary - CA, CT, IL, KS, NY, TX
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49 KB
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Sep/23/2010
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Investment Advisers - Dodd Frank - June 2011 Clifford Chance Article
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Investment Advisor Act - Rule 202(A)(30)-1 - Foreign Private Advisers
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Investment Advisor Act - Rule 203(b)(3)-1 - Counting Fund as Client - REPEALED BY DODD FRANK
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May/15/2012
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Investment Advisor Act - Rule 203(b)(3)-1 - Counting Fund as Client
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May/24/2012
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Jun/26/2013
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Investment Advisor Registration Process Checklist, by Nancy Fallon-Houle
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Jun/24/2013
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Jun/07/2012
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Investment-Advisor-Registration and Exemptions - Morrison and Forrester -110300
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PDF
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1.22 MB
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May/23/2013
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Is it an Advertisement - Article by Compliance Building
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Jun/17/2011
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Katten Muchin - Summary and Analysis of Dodd-Frank Amendments
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95 KB
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Jul/05/2012
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LLC vs S Corp Corporate Law Legal and brief Tax Issues - 2-26-09
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Feb/17/2011
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Feb/17/2014
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Mar/24/2014
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Lori Rich speech SEC
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Oct/26/2004
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Mid Sized Advsier 25 to 100Million - Register with SEC if not Required to Register in State Rule 203A
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17 KB
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Jun/26/2013
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NAASA Investment Adviser Registration Deck (final) Noula
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Sep/12/2012
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Jan/13/2011
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107 KB
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May/05/2015
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164 KB
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Jun/24/2013
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Mar/15/2007
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Mar/15/2007
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Name Search and Selection Checklist - 6-15-11
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Jun/16/2011
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Mar/15/2007
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90 KB
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May/10/2002
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Newsletter Exemption from IA Registration and US Supreme Court Case
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|
14 KB
|
Nov/20/2010
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North Carolina - Private Adviser Order 7-19-11
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|
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Jul/19/2011
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Feb/17/2011
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Part 1B - Revisions 10-2012
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17 KB
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Nov/07/2012
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May/10/2002
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Performance Fees to IA, in Fund must be to Qualified Client
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Piercing the Corporate Veil - Steps to Avoid - 2-17-11
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Feb/08/2012
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Proxys for Advisers
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46 KB
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|
Regis Timetable-Dodd-Frank.pdf
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|
295 KB
|
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May/10/2002
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May/10/2002
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SEC Audit Check List by NFH 9-29-05 130pm combined
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269 KB
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Oct/22/2002
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SEC Hotbuttons of Compliance - Lapses and Review Items - SEC Letter 5-1-2000
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34 KB
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PDF
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Apr/29/2002
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SEC Release 2091 - Final Rule Investmetn Adviser Servieces on Internet and Exemptions - 1-20-2003
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Apr/30/2003
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PDF
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1.47 MB
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May/15/2012
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PDF
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1.15 MB
|
May/18/2012
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PDF
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1.15 MB
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Feb/08/2012
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SEC Release IA-3308 File S7-05-11 and CFTC RIN 3038-AD03 IA Private Funds , Pools, CTAs on Form PF - Joint Final Reiules 10-2011
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PDF
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863 KB
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May/18/2012
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SEC Release on Websites, Internet, Blogs for Issuers 34-58288 Aug 8, 2008
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PDF
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237 KB
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Jun/20/2011
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SEC Response to ABA 2-7-12 IA Registration
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PDF
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92 KB
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Feb/06/2012
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SEC Revamped form - Comment Period Closing 8-12-15
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PDF
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41 KB
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Aug/13/2015
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SEC Rule 203(b)(3)-1 -- Definition of CLIENT of an Investment Adviser 02-05-04
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DOC
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29 KB
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Feb/24/2004
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SEC Rule 205-3(d) - Definition of a Qualified Client
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DOC
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14 KB
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Jun/07/2012
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SEC Rule 206(4)-1 -- Advertisements by Investment Advisers
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DOC
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27 KB
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Sep/11/2003
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SEC Section 202(a)(11) Exclusions from Definition of IA
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DOC
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27 KB
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Apr/29/2002
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SEC Section 202(a)(11) of the IA Act - Financial Planners -defines IA, Section 1 Addressing issue of
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DOC
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29 KB
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Apr/29/2002
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SEC State Exemption for FCA
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DOC
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14 KB
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Jul/17/2013
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SEC registration reminder with Feb 14 2012 Deadline - McGladrey Article
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PDF
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137 KB
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Feb/08/2012
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SEC v Yun Soo Oh Park ND Ill 2000 involved giving advice through an inmpersonal website
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DOC
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17 KB
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Aug/07/2012
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SEC versus State registration Rule 203A-2 -- Exemptions from Prohibition on Commission Registration
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DOC
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33 KB
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Sep/11/2003
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SECs 15 cleint Exemption 203(b)(3) REPEALED BY DODD FRANK
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DOC
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15 KB
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Jun/26/2013
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Safe Harbor Elimination for Fund Mangers - Counting Investors
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DOC
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25 KB
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May/23/2012
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Section 206(4)-1 Advertisements by Investment Advisers
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DOC
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15 KB
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Jun/17/2011
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Section 215 of Advisros Act - Validty of Contracts
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DOC
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15 KB
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Jun/20/2011
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Securities Regulation and Exemptions for Private Funds - Hedge Funds, VC Funds, and Real Estate Funds - No Futures 4-1-11
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DOC
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28 KB
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Apr/01/2011
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Single ADV permitted for Advisors 2-7-12 - Summary of Letters - Materials 10 Pages
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PDF
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134 KB
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Feb/06/2012
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State IA Entitlement Forms
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PDF
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925 KB
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Mar/08/2006
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State IA Entitlement Packet
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PDF
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1.39 MB
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Mar/08/2006
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State Private Fund Advisor Exemptions after Dodd Frank - Fishman Wolders Kluwer - 2012 Date Unknown
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PDF
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508 KB
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Jun/24/2013
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States - IA Firm and IA Rep Fees
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PDF
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81 KB
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Aug/11/2011
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States - Midwest - Investment Adviser Registration Requiremetns for Private Fund Managers - Alexander Davie Article as of 8-23-11 - date unknown
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PDF
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128 KB
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Jun/24/2013
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Steps To Investment Adviser Registration - FINRA - IARD - Chronologial Order - With Links 6-4-12
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DOC
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24 KB
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Jun/04/2012
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Steps To Investment Adviser Registration - FINRA - IARD - Chronologial Order - With Links
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DOC
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24 KB
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May/25/2012
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Summary - SEC No Action Letter - Wells Fargo - 9-21-12 - Rule 206(4)-3 - Fee Payment Permitted to IA after judgment order re discriminatory lending
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DOC
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14 KB
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Sep/27/2012
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Surviving SEC Exam
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DOC
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153 KB
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Oct/26/2004
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TOP TEN DEFICIENCIES
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DOC
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20 KB
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Oct/26/2004
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Texas - Investment Adviser Exemption - Marked
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PDF
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248 KB
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Sep/22/2010
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Texas Administrative Code Rule 116.13 - IA Compensation Limits
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DOC
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15 KB
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Jun/07/2012
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Texas FCA Notice Filing
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DOC
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15 KB
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Jul/03/2013
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Texas Finder and Business Broker Info
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PDF
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57 KB
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Sep/30/2014
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Texas IA Filing Fees and Registration Requirements
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DOC
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17 KB
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Jun/04/2012
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Texas IA Registration - No Minimum Capital Requirements
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DOC
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14 KB
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Jun/06/2012
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Texas Notice Filing for Federal Covered Advisers - Effective 3-31-14
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DOC
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20 KB
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Mar/24/2014
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Top Ten Tips
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DOC
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35 KB
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Oct/26/2004
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Trade Blotter Sample Requested by the SEC in Audits
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DOC
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36 KB
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Mar/06/2003
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Traps in Electroinc Communications Part II NSCP - Mar-Apr2007
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PDF
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1.55 MB
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Apr/12/2007
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Two Businesses, Two Business Entities - 2-17-11
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DOC
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29 KB
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Feb/17/2011
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U-10 if taking 65 or 66 exam without being on U-4 with firm
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DOC
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23 KB
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Jun/23/2011
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Venture Captial Firms matching Entreprenerus with Investors, and providing Reprorts to Investors should register as IA
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DOC
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30 KB
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Apr/29/2002
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Virginia - IA Policy Statement after Dodd Frank 7-19-11
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PDF
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150 KB
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Jul/19/2011
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Virginia Exemptions from IA registtaion and 5 client exemption and notes re Fund as client, not fund investor
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DOC
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44 KB
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May/10/2002
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Webinar about SEC audit points on 12-10-13 webinar
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DOC
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16 KB
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Dec/10/2013
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sec-provides-relief-from-pcaob-inspection-requirements-for-auditors-to-private-funds
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PDF
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33 KB
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Feb/07/2012
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secEntitlementPacket
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PDF
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97 KB
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Feb/06/2012
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stateEntitlementPacket
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PDF
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94 KB
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Feb/06/2012
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