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.doc		 ADV - Investment Adviser ADV Forms & SEC Q & A 7-02
Last Modified on 7/24/2002
439.9 KB, <1 minute download via 56K


.doc		 Form U-4 Instructions
Last Modified on 2/15/2004
198.4 KB, <1 minute download via 56K


.doc		 ADV Paper Version and Instructions
Last Modified on 2/15/2004
409.8 KB, <1 minute download via 56K


.doc		 SEC 2(a)(20) definitioin defines IA
Last Modified on 5/10/2002
25.0 KB, <1 minute download via 56K


.doc		 SEC IA 40 Act Section 202 - Definitions
Last Modified on 2/24/2004
40.5 KB, <1 minute download via 56K


.doc		 SEC Hotbuttons of Compliance - Lapses and Review Items - SEC Letter 5-1-2000
Last Modified on 10/22/2002
678.4 KB, <1 minute download via 56K


.doc		 SEC Exam Selection Items - Federal News 1712-3
Last Modified on 10/22/2002
269.4 KB, <1 minute download via 56K


.doc		 Lori Rich speech
Last Modified on 10/26/2004
72.5 KB, <1 minute download via 56K


.doc		 TOP TEN DEFICIENCIES
Last Modified on 10/26/2004
19.5 KB, <1 minute download via 56K


.doc		 Top Ten Tips
Last Modified on 10/26/2004
34.5 KB, <1 minute download via 56K


.doc		 Surviving SEC Exam
Last Modified on 10/26/2004
153.0 KB, <1 minute download via 56K


.doc		 Trade Blotter Sample Requested by the SEC in Audits
Last Modified on 3/6/2003
36.0 KB, <1 minute download via 56K


.doc		 Broker or Financial Planner assisting client in Finding Investment Adviser is an IA
Last Modified on 4/29/2002
77.0 KB, <1 minute download via 56K


.doc		 SEC Section 202(a)(11) of the IA Act - Financial Planners -defines IA, Section 1 Addressing issue of
Last Modified on 4/29/2002
29.0 KB, <1 minute download via 56K


.doc		 Financial Planner FPS Consultants, Ltd. Apr. 06, 1976 FP Giving Advice Incidentally probably required to Regiter 78 CCH Dec 81266 SEC 1976
Last Modified on 4/29/2002
36.5 KB, <1 minute download via 56K


.doc		 SEC 202(a)(11) Financial Planners & Pension Consultants - CCH Rserach Hits annotations
Last Modified on 4/29/2002
889.0 KB, <1 minute download via 56K


.doc		 Financial Planners - SEC Release IA-1092 Investment Advisers Act Applic. to Financial Planners, Pension Consultants,et al - See A.1, Page3
Last Modified on 4/23/2002
144.0 KB, <1 minute download via 56K


.doc		 Computer Consulting Software & Services for Securities Analysis & Advice Required to Register as IA - SEC No Action Letter
Last Modified on 4/29/2002
31.0 KB, <1 minute download via 56K


.doc		 Consolidating portfolio data constitutes IA activity
Last Modified on 4/12/2004
46.5 KB, <1 minute download via 56K


.doc		 Venture Captial Firms matching Entreprenerus with Investors, and providing Reprorts to Investors should register as IA
Last Modified on 4/29/2002
30.0 KB, <1 minute download via 56K


.doc		 SEC Final Rule 2091Investmetn Adviser- INternet and Exemptions
Last Modified on 4/30/2003
118.0 KB, <1 minute download via 56K


.doc		 SEC IA 40 Act 206A -- Exemptions
Last Modified on 9/11/2003
24.0 KB, <1 minute download via 56K


.doc		 SEC IA 40 Act Section 203A -- State and Federal Responsibilities
Last Modified on 9/11/2003
27.0 KB, <1 minute download via 56K


.doc		 SEC IA 40 Act Section 222 -- State Regulation of Investment Advisers - State Deminimus Exemption 6 or fewer
Last Modified on 9/11/2003
25.5 KB, <1 minute download via 56K


.doc		 SEC Reg 275.202-1 Exclusions of persons offering advice to employer-sponsored plans - RESCINDED in REL A-888 12-2-83
Last Modified on 4/29/2002
23.5 KB, <1 minute download via 56K


.doc		 SEC Release 64 SEC Docket 1432-100 Rules Implementing IA Act amendments 5-15-97
Last Modified on 4/23/2002
699.5 KB, <1 minute download via 56K


.doc		 SEC 202(a)(11) Exclusion Links
Last Modified on 4/29/2002
44.0 KB, <1 minute download via 56K


.doc		 Referral Fees - Firm Receiveing Referral Fees from Broker-dealer for referrng clients is an IA
Last Modified on 4/29/2002
24.5 KB, <1 minute download via 56K


.doc		 SEC Rule 203(b)(3)-1 -- Definition of CLIENT of an Investment Adviser 02-05-04
Last Modified on 2/24/2004
29.0 KB, <1 minute download via 56K


.doc		 SEC Rule 206(4)-1 -- Advertisements by Investment Advisers
Last Modified on 9/11/2003
26.5 KB, <1 minute download via 56K


.doc		 SEC Section 202(a)(11) Exclusions from Definition of IA
Last Modified on 4/29/2002
27.0 KB, <1 minute download via 56K


.doc		 SEC versus State registration Rule 203A-2 -- Exemptions from Prohibition on Commission Registration
Last Modified on 9/11/2003
33.0 KB, <1 minute download via 56K


.doc		 Proxys for Advisers
Last Modified on 6/19/2003
45.8 KB, <1 minute download via 56K


.doc		 California 5 client Exemption IA and deferral to federal definition of Client
Last Modified on 5/10/2002
25.0 KB, <1 minute download via 56K


.doc		 California Definiton of IA and IA Reps 25009
Last Modified on 4/12/2004
29.0 KB, <1 minute download via 56K


.doc		 California Definition of Client 25202
Last Modified on 10/31/2002
25.0 KB, <1 minute download via 56K


.doc		 California Investment Adviser Exemption for SEC Advisers 25230
Last Modified on 3/7/2003
25.0 KB, <1 minute download via 56K


.doc		 California Notice Filng Reuqirements for SEC Advisers 25230.1.
Last Modified on 10/28/2002
28.5 KB, <1 minute download via 56K


.doc		 California SEC Registered Adviser Exemption - Rep resigntation 25230, 25230.1, 25232
Last Modified on 10/28/2002
43.5 KB, <1 minute download via 56K


.doc		 Connecticut Order Defining De Minimus Exemption for IAs
Last Modified on 5/10/2002
68.5 KB, <1 minute download via 56K


.doc		 Illinois ADV State Filing Instructions
Last Modified on 2/15/2004
144.7 KB, <1 minute download via 56K


.doc		 Illinois IA Registration - Check Chart
Last Modified on 4/24/2002
37.0 KB, <1 minute download via 56K


.doc		 Illinois Examination Requirements
Last Modified on 2/15/2004
35.0 KB, <1 minute download via 56K


.doc		 Illinois IA Registration - Documents Required
Last Modified on 4/12/2004
26.0 KB, <1 minute download via 56K


.doc		 Illinois IA Rep Registration and Denial factors Sect 8.D.
Last Modified on 6/20/2001
58.5 KB, <1 minute download via 56K


.doc		 Illinois Reg Sec. 130.805 and 806 Exemptions from IA Registration
Last Modified on 4/23/2002
27.5 KB, <1 minute download via 56K


.doc		 Illinois Rule 130.838 Federlly covered IA- Notice Filing Procedure in IL
Last Modified on 4/23/2002
26.5 KB, <1 minute download via 56K


.doc		 Illinois Section 2.11 Definition of IA 2.12, 2.12 b, IA rep, SEction 8 Exemptions, Regs 130.805
Last Modified on 4/23/2002
94.0 KB, <1 minute download via 56K


.doc		 New York Investmetn Adviser Exemptions 15 or fewer clients
Last Modified on 5/10/2002
90.0 KB, <1 minute download via 56K


.doc		 Pennsylvania De Minimus Exemption 5 client form IA and definition of Client
Last Modified on 5/10/2002
55.0 KB, <1 minute download via 56K


.doc		 Rhode Island 5 client exemption IA
Last Modified on 5/10/2002
25.0 KB, <1 minute download via 56K


.doc		 Virginia Exemptions from IA registtaion and 5 client exemption and notes re Fund as client, not fund investor
Last Modified on 5/10/2002
44.0 KB, <1 minute download via 56K


.doc		 Corporate Maintenance Checklist - Post-Incorporation
Last Modified on 5/11/2005
49.5 KB, <1 minute download via 56K


.doc		 Form ADV - Uniform Application - From SEC Site
Last Modified on 2/14/2006
450.7 KB, <1 minute download via 56K


.doc		 SEC IA Entitlement Forms
Last Modified on 3/8/2006
659.2 KB, <1 minute download via 56K


.doc		 SEC IA Entitlement Packet
Last Modified on 3/8/2006
1.2 MB, <1 minute download via 56K


.doc		 State IA Entitlement Forms
Last Modified on 3/8/2006
925.4 KB, <1 minute download via 56K


.doc		 State IA Entitlement Packet
Last Modified on 3/8/2006
1.4 MB, <1 minute download via 56K


.doc		 SEC Audit Check List by NFH
Last Modified on 3/31/2006
325.5 KB, <1 minute download via 56K


.doc		 IA Release by NASAA For State Advisors
Last Modified on 2/26/2006
29.5 KB, <1 minute download via 56K


.doc		 Compliance Steps Letter from SEC May 1, 2000 with lists and Links
Last Modified on 6/7/2006
111.5 KB, <1 minute download via 56K


.doc		 Hedge Fund Manager Registration for Managers of More than 1 Fund
Last Modified on 7/6/2006
19.5 KB, <1 minute download via 56K


.doc		 IA Registration of Fund Managers - Look through Fund to Investors Struck Down - Goldstein Case 6-23-06
Last Modified on 7/6/2006
29.5 KB, <1 minute download via 56K


.doc		 Banker Referrals From Nancy Fallon-Houle
Last Modified on 7/28/2006
58.5 KB, <1 minute download via 56K


.doc		 Incorporation or LLC Formation Checklist
Last Modified on 8/7/2006
60.0 KB, <1 minute download via 56K


.doc		 Insurance Agent Referrals from Nancy Fallon-Houle for Business Insurance
Last Modified on 11/15/2006
26.5 KB, <1 minute download via 56K


.doc		 IA-NASD Entitlement Modification, CRD Part, Web CRD
Last Modified on 3/8/2006
315.4 KB, <1 minute download via 56K


.doc		 Accountant, Bookkeeper, Tax Preparer, and Auditor Referrals From NFHLaw
Last Modified on 2/27/2007
154.5 KB, <1 minute download via 56K

Contact Nancy Fallon-Houle at nfallon@nfhlaw.com, or staff at 630-598-0400 (main) or Nancy at 630-963-0439 (direct)
5449 Bending Oaks Place, Downers Grove, Illinois 60515, DuPage County
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