Advertising Compliance
ADV Deadlines In Flux For State-Registered RIAs In Many Parts Of The Country
While the SEC deadline for the "plain language" ADV has come and gone, smaller RIAs have found that their state is willing to take the paperwork in July, August, or even beyond.
The ADV Deadline Came And Went: Did You File On Time?
Not sure how many RIAs deliberately waited until the last minute to file their new ADV forms, but according to the consultants, at least a few luxuriated until the last minute.
SEC Fines Houston Radio "Money Man" $65,000 For Undisclosed Conflicts Of Interest
Daniel Frishberg, better known to Texan radio listeners as "the Money Man," has been banned from associating with investment advisors and fined $65,000.
