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pdf 		Form U-10 Exam Application for NonFINRA Candidates, Instructions
Last Modified on May/23/2011
33.74 KB


doc 		Venture Captial Firms matching Entreprenerus with Investors, and providing Reprorts to Investors should register as IA
Last Modified on Apr/29/2002
30.00 KB


pdf 		Family Office Exception from Definition for all Investment Advisor Purposes
Last Modified on Oct/18/2010
51.07 KB


doc 		SEC Reg 275.202-1 Exclusions of persons offering advice to employer-sponsored plans - RESCINDED in REL A-888 12-2-83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 Apr/29/2002
23.50 KB


pdf 		Exemptions to Advisers to Venture Capital Funds, Private Fund Advisers with Less than $150 Million in Assets Under Management, and Foreign Private Advisers
Last Modified on Dec/02/2010
617.03 KB


doc 		SEC Investment Advisor Registration Requirements for Fund Managers - Adopted 6-22-11, Filings by 3-30-12
Last Modified on Jun/24/2011
18.65 KB


pdf 		SEC IA Entitlement Packet
Last Modified on Mar/08/2006
1,242,031.00 KB


pdf 		State IA Entitlement Packet
Last Modified on Mar/08/2006
1,461,611.00 KB


doc 		Section 206(4)-1 Advertisements by Investment Advisers
Last Modified on Jun/17/2011
14.96 KB


doc 		Lori Rich speech
Last Modified on Oct/26/2004
72.50 KB


doc 		SEC Rule 206(4)-1 -- Advertisements by Investment Advisers
Last Modified on Sep/11/2003
26.50 KB


doc 		Accountant Bookkeeper Tax Preparer and Auditor Referrals From NFHLaw 5-9-2011
Last Modified on Jun/14/2011
45.40 KB


doc 		Name Search and Selection Checklist - 6-15-11
Last Modified on Jun/16/2011
57.59 KB


doc 		Securities Regulation and Exemptions for Private Funds - Hedge Funds, VC Funds, and Real Estate Funds - No Futures 4-1-11
Last Modified on Apr/01/2011
27.53 KB


pdf 		SEC Hotbuttons of Compliance - Lapses and Review Items - SEC Letter 5-1-2000
Last Modified on Oct/22/2002
678.39 KB


doc 		Piercing the Corporate Veil - Steps to Avoid - 2-17-11
Last Modified on Feb/17/2011
26.98 KB


pdf 		SEC Exam Selection Items - Federal News 1712-3
Last Modified on Oct/22/2002
269.45 KB


doc 		TOP TEN DEFICIENCIES
Last Modified on Oct/26/2004
19.50 KB


doc 		Top Ten Tips
Last Modified on Oct/26/2004
34.50 KB


pdf 		IARD - FINRA Step by Step Guide to filing ADV Part 2
Last Modified on Jan/13/2011
607.20 KB


doc 		California 5 client Exemption IA and deferral to federal definition of Client
Last Modified on May/10/2002
25.00 KB


pdf 		AML Act form SEC Site - 31 CFR Part 102 RIN 1506- A
Last Modified on Jun/13/2007
264.29 KB


doc 		SEC IA 40 Act Section 222 -- State Regulation of Investment Advisers - State Deminimus Exemption 6 or fewer
Last Modified on Sep/11/2003
25.50 KB


doc 		SEC IA 40 Act Section 202 - Definitions
Last Modified on Feb/24/2004
40.50 KB


pdf 		NASAA - Guide for Electronic Filing of the ADV Part II
Last Modified on Jan/13/2011
57.00 KB


doc 		SEC versus State registration Rule 203A-2 -- Exemptions from Prohibition on Commission Registration
Last Modified on Sep/11/2003
33.00 KB


doc 		California Definiton of IA and IA Reps 25009
Last Modified on Apr/12/2004
29.00 KB


doc 		Broker or Financial Planner assisting client in Finding Investment Adviser is an IA
Last Modified on Apr/29/2002
77.00 KB


doc 		SEC 202(a)(11) Financial Planners & Pension Consultants - CCH Rserach Hits annotations
Last Modified on Apr/29/2002
889.00 KB


doc 		Consolidating portfolio data constitutes IA activity
Last Modified on Apr/12/2004
46.50 KB


doc 		California Definition of Client 25202
Last Modified on Oct/31/2002
25.00 KB


doc 		California Investment Adviser Exemption for SEC Advisers 25230
Last Modified on Mar/07/2003
25.00 KB


doc 		California Notice Filng Reuqirements for SEC Advisers 25230.1.
Last Modified on Oct/28/2002
28.50 KB


doc 		Trade Blotter Sample Requested by the SEC in Audits
Last Modified on Mar/06/2003
36.00 KB


doc 		SEC 2(a)(20) definitioin defines IA
Last Modified on May/10/2002
25.00 KB


doc 		California SEC Registered Adviser Exemption - Rep resigntation 25230, 25230.1, 25232
Last Modified on Oct/28/2002
43.50 KB


doc 		U-10 if taking 65 or 66 exam without being on U-4 with firm
Last Modified on Jun/23/2011
22.65 KB


pdf 		SEC No Action - Regarding Advertisements 206(4)(b) Letter to Investment Consel Associatoin of America 3-1-04
Last Modified on Jun/17/2011
33.58 KB


doc 		Investment Adviser Registration of Fund Managers - Look through Fund to Investors Struck Down - Goldstein Case 6-23-06
Last Modified on Jul/06/2006
29.50 KB


pdf 		Newsletter Exemption from IA Registration and US Supreme Court Case
Last Modified on Nov/20/2010
13.67 KB


doc 		Connecticut Order Defining De Minimus Exemption for IAs
Last Modified on May/10/2002
68.50 KB


doc 		SEC Section 202(a)(11) of the IA Act - Financial Planners -defines IA, Section 1 Addressing issue of
Last Modified on Apr/29/2002
29.00 KB


pdf 		Illinois ADV State Filing Instructions
Last Modified on Feb/15/2004
144.71 KB


doc 		Illinois IA Registration - Check Chart
Last Modified on Apr/24/2002
37.00 KB


doc 		Illinois Examination Requirements
Last Modified on Feb/15/2004
35.00 KB


doc 		Illinois IA Registration - Documents Required
Last Modified on Apr/12/2004
26.00 KB


doc 		SEC Release 64 SEC Docket 1432-100 Rules Implementing IA Act amendments 5-15-97
Last Modified on Apr/23/2002
699.50 KB


pdf 		SEC Release on Websites, Internet, Blogs for Issuers 34-58288 Aug 8, 2008
Last Modified on Jun/20/2011
237.40 KB


doc 		Illinois IA Rep Registration and Denial factors Sect 8.D.
Last Modified on Jun/23/2011
42.00 KB


doc 		SEC Rule 203(b)(3)-1 -- Definition of CLIENT of an Investment Adviser 02-05-04
Last Modified on Feb/24/2004
29.00 KB


doc 		Illinois Reg Sec. 130.805 and 806 Exemptions from IA Registration
Last Modified on Apr/23/2002
27.50 KB


doc 		Illinois Rule 130.838 Federlly covered IA- Notice Filing Procedure in IL
Last Modified on Apr/23/2002
26.50 KB


doc 		Illinois Section 2.11 Definition of IA 2.12, 2.12 b, IA rep, SEction 8 Exemptions, Regs 130.805
Last Modified on Apr/23/2002
94.00 KB


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 Apr/29/2002
36.50 KB


doc 		Computer Consulting Software & Services for Securities Analysis & Advice Required to Register as IA - SEC No Action Letter
Last Modified on Apr/29/2002
31.00 KB


doc 		Referral Fees - Firm Receiveing Referral Fees from Broker-dealer for referrng clients is an IA
Last Modified on Apr/29/2002
24.50 KB


doc 		New York Investmetn Adviser Exemptions 15 or fewer clients
Last Modified on May/10/2002
90.00 KB


doc 		Surviving SEC Exam
Last Modified on Oct/26/2004
153.00 KB


doc 		SEC Investment Adviser Audit Check List by NFH
Last Modified on Mar/31/2006
325.50 KB


doc 		SEC Section 202(a)(11) Exclusions from Definition of IA
Last Modified on Apr/29/2002
27.00 KB


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 Apr/23/2002
144.00 KB


doc 		Pennsylvania De Minimus Exemption 5 client form IA and definition of Client
Last Modified on May/10/2002
55.00 KB


doc 		SEC IA 40 Act Section 203A -- State and Federal Responsibilities
Last Modified on Sep/11/2003
27.00 KB


pdf 		Proxys for Advisers
Last Modified on Jun/19/2003
45.81 KB


pdf 		Form U-4 Instructions
Last Modified on Feb/15/2004
198.36 KB


doc 		SEC IA 40 Act 206A -- Exemptions
Last Modified on Sep/11/2003
24.00 KB


doc 		Rhode Island 5 client exemption IA
Last Modified on May/10/2002
25.00 KB


doc 		Virginia Exemptions from IA registtaion and 5 client exemption and notes re Fund as client, not fund investor
Last Modified on May/10/2002
44.00 KB


doc 		Corporate Maintenance Checklist - Post-Incorporation
Last Modified on May/11/2005
49.50 KB


pdf 		Form ADV - Uniform Application - From SEC Site
Last Modified on Feb/14/2006
450.71 KB


pdf 		IL SOS - Instructions for Registration as an Investment Advisor
Last Modified on Jan/13/2011
335.96 KB


pdf 		SEC IA Entitlement Forms
Last Modified on Mar/08/2006
659.22 KB


pdf 		State IA Entitlement Forms
Last Modified on Mar/08/2006
925.42 KB


doc 		IA Release by NASAA For State Advisors
Last Modified on Feb/26/2006
29.50 KB


doc 		Two Businesses, Two Business Entities - 2-17-11
Last Modified on Feb/17/2011
28.92 KB


doc 		SEC 202(a)(11) Exclusion Links
Last Modified on Apr/29/2002
44.00 KB


doc 		Hedge Fund Manager Registration for Managers of More than 1 Fund - Superceded by 6-22-11 Dodd Frank Rules
Last Modified on Jul/06/2006
19.50 KB


pdf 		IA-NASD Entitlement Modification, CRD Part, Web CRD
Last Modified on Mar/08/2006
315.40 KB


pdf 		Anti-Money Laundering - USPatriot Act Presentation 6-3-03 and speakers
Last Modified on Mar/15/2007
140.05 KB


doc 		Brochure Legend required by ADV
Last Modified on Apr/12/2004
10.67 KB


doc 		Corporate Maintenance Checklist - Post-Incorporation - 3-16-10
Last Modified on Feb/17/2011
31.02 KB


pdf 		Employee or Independent Contractor Classification - CCH - Short - 10-11-07
Last Modified on Mar/03/2009
155.17 KB


pdf 		Form ADV - Civil Judicial Action Disclosure - 3-00-10
Last Modified on Jun/22/2010
124.34 KB


pdf 		Form ADV - Criminal Disclosure - 3-00-10
Last Modified on Jun/22/2010
86.15 KB


pdf 		Form ADV - Full, and Full Registration Packet - 3-00-10
Last Modified on Jun/22/2010
1,439,568.00 KB


pdf 		Form ADV - Part 1A - 3-00-10
Last Modified on Jun/22/2010
642.14 KB


pdf 		Form ADV - Regulatory Action Disclosure - 3-00-10
Last Modified on Jun/22/2010
120.77 KB


pdf 		Form ADV - Schedule A - 3-00-10
Last Modified on Jun/22/2010
63.20 KB


pdf 		Form ADV - Schedule B - 3-00-10
Last Modified on Jun/22/2010
58.89 KB


pdf 		Form ADV - Schedule C - 3-00-10
Last Modified on Jun/22/2010
42.90 KB


pdf 		Form ADV - Schedule D - 3-00-10
Last Modified on Jun/22/2010
262.26 KB


pdf 		Form ADV - Schedule F for ADV Part II
Last Modified on Apr/03/2006
11.96 KB


pdf 		Form ADV - Schedule G - ADV Balance Sheet 4-00-06
Last Modified on Apr/03/2006
24.27 KB


pdf 		Form ADV - Schedule H 4-00-06
Last Modified on Apr/03/2006
161.12 KB


doc 		Form ADV Part 2 - SEC Amendments Proposed in 2-2008
Last Modified on Feb/15/2008
20.41 KB


pdf 		Form ADV Part II 7-31-08
Last Modified on Feb/01/2006
209.76 KB


doc 		Incorporation or LLC Formation Checklist - 3-16-10
Last Modified on Feb/17/2011
39.85 KB


doc 		Investment Adviser Compliance Steps Letter from SEC May 1, 2000 with lists and Links
Last Modified on Jun/07/2006
111.50 KB


doc 		LLC vs S Corp Corporate Law Legal and brief Tax Issues - 2-26-09
Last Modified on Feb/17/2011
35.75 KB


doc 		Owners, Board, Managers, Officers in a Corporation vs LLC - 11-5-09
Last Modified on Feb/17/2011
15.63 KB


pdf 		ADV - Investment Adviser ADV Forms & SEC Q & A from July 2002 Q and A
Last Modified on Jul/24/2002
439.94 KB


doc 		SEC Release 2091 - Final Rule Investmetn Adviser Servieces on Internet and Exemptions - 1-20-2003
Last Modified on Apr/30/2003
118.00 KB

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
copyright © 2012 Nancy Fallon-Houle, P.C. legal disclaimer