sec-registered investment advisers may contact SEC staff at [email protected] for regulatory issues. The IARD system is designed to make electronic filing easy and most investment advisers submit their electronic filings through the IARD system without outside help.
Investment adviser firms must register with the SEC and or state(s) by filing the Form ADV. The SEC has mandated that all federally registered IA firms must make their firm filings electronically via the IARD system.
File a securities complaint. Search the securities registration database. Get information about investing. Learn more about the Prosecutors Assistance Unit. Find information about current laws and regulations. Download resources on investing. Check the calendar for upcoming events. Search the background of my investment professional.
Investment Adviser Registration. Large advisers are registered with the SEC and are primarily subject to federal regulation instead of state regulation. However, SEC-registered investment advisers must comply with state antifraud prohibitions, and states may license and register representatives of SEC-registered investment advisers.
Investment Advisers. You can get background information on both SEC- and state-registered investment advisers by using FINRA BrokerCheck or calling us toll-free (800) 289-9999.You can also get background information by visiting the SEC’s Investment Adviser Public Disclosure database.
Investor Education. The Securities Division provides consumers with information they need to make appropriate investment decisions and avoid securities fraud and abuse. The Division distributes publications and videos, and conducts seminars to educate investors and increase public awareness of investment fraud. For further information, call 410-576-6882.
An investment adviser representative ("IAR"), also referred to as a registered adviser ("RA"), is defined in Corporations Code Section 25009.5(b) as any person defined as an investment adviser representative by Rule 203A-3 of the Securities and Exchange Commission ("SEC") and who has a place of business in California.
You can view a SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered investment adviser’s most recent Form ADV online by visiting the Investment Adviser Public Disclosure (IAPD) (www.adviserinfo.sec.gov) website.
Registered. Commission (SEC) or other enforcement agencies which can include sanctions, revocation of licensure or fines. The Rule Book Many of the rules regarding advertising are contained in the.