Stark & Stark’s Investment Adviser Regulation group is pleased to announce that the latest Investment Adviser Compliance Update has been published and is available for download.
The Summer 2006 edition covers topics including:
Risk Assessment
SEC’s New Examination Request List
Succession Planning Your Practice
Branch Office Registration
13-F
206(4)-7
You can download a copy of the latest Investment Adviser Compliance Upate here (PDF).
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