Investment Advisers | Regulatory Filings | States

Practical Thought Leadership – Updated Advice to RIAs on State IAR Registrations and Notice Filings

Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP)  Currents: Client Relationships Go Virtual, but State Regulators Remain Focused on Where RIA Clients Live, by Partner and Managing Director, Jaqueline Hummel.

Ms. Hummel addresses a timely compliance challenge now faced by firms with investment adviser representatives (IARs) working from a state that differs from their IAR registration and with clients that may have relocated.  As an increasing number of states expire their temporary pandemic-related relief of state registration requirements, leverage Jaqi’s practical tips to analyze your firm’s activities and ensure you have the proper state registrations and notice filings in place.

Click here for a reprint of the article.


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