Registration Requirements for Dually Registered IA and BD Firms

On-Demand

This on-demand webinar covers the registration requirements for investment advisers and their representatives, including similarities and differences for federally versus state-covered advisers, and use and implementation of the Investment Adviser Registration Depository. Experts also compare and contrast Forms BD and ADV, and address current requirements and proposed changes to Form ADV Part II. This webinar lasts approximately 60 minutes.

 

Program Outline

 

  1. Speaker Introductions
    • Ron Petersen (Moderator) – Regulatory User Liaison, FINRA Registration and Disclosure
    • Margie Adams – Director, Regulatory Filing and Reporting Advisory Office, Deutsche Bank Securities Inc.
    • Patty Struck – Administrator, Division of Securities of Wisconsin’s Department of Financial Institutions
  1. Forms BD and ADV
    • Similarities and differences of scope and purpose
    • Firm reporting
    • Functionality of online forms
    • Disclosures
  2. State and Federal Requirements—Similarities and Differences
    • Requirements
    • Waivers from state to state
    • Recent changes and new registration requirements for certain states
    • Restrictions versus notice filings
  3. Considerations for Firms
    • Handling situations like “switching”
    • Firms’ common practices
    • Registration of individuals in different states
    • Other issues on the horizon
  4. Form ADV Part II
    • Current requirements
    • Proposed changes
  5. Wrap-Up

 

Registration Fees

Member

 Non-Member

 $25

 $50

 

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How to Register

 

The On-Demand program for Registration Requirements for Dually Registered IA and BD Firms will be available in approximately two to three weeks from the live program date. Please check back to register.


If you have questions regarding this webinar, you can visit our Webinars FAQ or email us.

 


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