Specific information that is required by SEC-registered financial advisors to give to state securities authorities for the purpose of protecting consumers by verifying that the advisor's expertise is authentic.
Related information about notice filing:
- Notice Filing Definition | Investopedia
Information an investment advisor registered with the Securities Exchange Commission may be required by law to submit to state securities authorities. Notice ...
- Notice Filing & Transition Explanation - NASAA
Overview The National Securities Markets Improvements Act of 1996 (NSMIA) divided regulation of investment advisers between the Securities and Exchange ...
- Check Sheet for Rule 116.1 Notice Filing
Amend Form ADV electronically via the CRD/IARD System to include Texas as a state in which the Investment Adviser is pursuing a Notice Filing.
- Uniform Investment Company Notice Filing - State of Michigan
The issuer elects to have its notice filing made effective upon filing. The issuer elects to have its notice filing period begin with SEC effectiveness and thereby ...
- IARD: Filing Fees
Nov 3, 2011 ... Information on State Notice Filing Fees. Many states ... State fees charged for making a notice filing are paid through IARD. For information on ...
- Information to Assist Persons Making a Notice Filing
The material presented here is to assist persons desiring general background information concerning the notice filing requirements in California.
- Licensing or notice filing through IARD
Licensing or notice filing through IARD. The Investment Adviser Registration Depository (IARD) is a national licensing and information database. All investment ...
- DOB: Connecticut Filing Instructions for Federally Covered - CT.gov
FINRA requires that IARD filers pay participation fees separate and apart from notice filing fees required by the State of Connecticut, and that an account be ...