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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Partner with Hardin Compliance

Have a compliance question or want an independent review of your compliance program?  Hardin Compliance can help!  Call us today at 1.724.935.6770, or visit our website at www.hardincompliance.com for more information.

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Hardin Compliance Consulting provides links to other publicly-available legal and compliance websites for your convenience. These links have been selected because we believe they provide valuable information and guidance.  The information in this e-newsletter is for general guidance only.  It does not constitute the provision of legal advice, tax advice, accounting services, or professional consulting of any kind.

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