Updated Thursday, May 23, 2013 as of 6:36 PM ET
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Compliance
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- Using a Compliance Service
by jhwfs69 » Tue Sep 06, 2011 1:23 pm - 2 Replies
- 12952 Views
- Last post by polariscompliance
Thu Mar 15, 2012 4:17 pm
- Using a Compliance Service
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- Do large firms have dirty compliance secrets
by B Smith » Fri Jan 06, 2012 11:36 am - 0 Replies
- 9531 Views
- Last post by B Smith
Fri Jan 06, 2012 11:36 am
- Do large firms have dirty compliance secrets
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- More compliance humor in the news...
by B Smith » Tue Nov 22, 2011 1:33 pm - 2 Replies
- 10104 Views
- Last post by Bradly T.
Wed Dec 07, 2011 11:46 am
- More compliance humor in the news...
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- Errors and Omissions Insurance
by the observer » Mon Nov 21, 2011 8:02 pm - 0 Replies
- 9062 Views
- Last post by the observer
Mon Nov 21, 2011 8:02 pm
- Errors and Omissions Insurance
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- Out of State Educational Seminars
by truevine » Wed Nov 16, 2011 5:10 pm - 0 Replies
- 9159 Views
- Last post by truevine
Wed Nov 16, 2011 5:10 pm
- Out of State Educational Seminars
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- Can you work for more than one RIA at a time?
by MrC1 » Thu Nov 10, 2011 1:10 pm - 1 Replies
- 9410 Views
- Last post by Bradly T.
Mon Nov 14, 2011 5:53 pm
- Can you work for more than one RIA at a time?
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- help with annual 206(4)-7
by EBorg » Tue Nov 01, 2011 2:02 pm - 0 Replies
- 9320 Views
- Last post by EBorg
Tue Nov 01, 2011 2:02 pm
- help with annual 206(4)-7
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- SEC SHOWS SENSE OF HUMOR!
by Bradly T. » Thu Oct 20, 2011 11:53 am - 1 Replies
- 9506 Views
- Last post by the observer
Thu Oct 20, 2011 6:28 pm
- SEC SHOWS SENSE OF HUMOR!
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- Who's to blame for the UBS mess?
by lbarrett » Wed Oct 05, 2011 4:26 pm - 0 Replies
- 9232 Views
- Last post by lbarrett
Wed Oct 05, 2011 4:26 pm
- Who's to blame for the UBS mess?
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- Boring U-4 question
by Weemery » Wed Mar 16, 2011 3:10 pm - 5 Replies
- 11345 Views
- Last post by WBCompliance
Sat Oct 01, 2011 9:21 am
- Boring U-4 question
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- Annual ADV Offer to Clients
by jockey16 » Thu Dec 02, 2010 11:26 am - 1 Replies
- 11831 Views
- Last post by WBCompliance
Fri Sep 30, 2011 2:48 pm
- Annual ADV Offer to Clients
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by Tad Borek » Wed Jun 29, 2011 12:19 pm - 1 Replies
- 10022 Views
- Last post by WBCompliance
Fri Sep 30, 2011 2:43 pm
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- Whistleblower Program
by lbarrett » Thu Jul 14, 2011 5:18 pm - 1 Replies
- 9873 Views
- Last post by WBCompliance
Fri Sep 30, 2011 2:36 pm
- Whistleblower Program
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- Monthly Fee
by the observer » Sun Sep 25, 2011 7:29 pm - 0 Replies
- 9378 Views
- Last post by the observer
Sun Sep 25, 2011 7:29 pm
- Monthly Fee
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- Custody of Funds
by the observer » Mon Aug 15, 2011 2:31 pm - 0 Replies
- 9757 Views
- Last post by the observer
Mon Aug 15, 2011 2:31 pm
- Custody of Funds
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- Working on my Form ADV
by the observer » Sat Jul 30, 2011 2:16 am - 1 Replies
- 9980 Views
- Last post by Tad Borek
Wed Aug 03, 2011 12:45 pm
- Working on my Form ADV
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- Am I exempt?
by fisherman166 » Mon Jul 18, 2011 5:35 pm - 2 Replies
- 10210 Views
- Last post by Bradly T.
Thu Jul 28, 2011 4:12 pm
- Am I exempt?
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- E&O Insurance
by Alan Cohn » Tue Jun 28, 2011 11:05 am - 0 Replies
- 9637 Views
- Last post by Alan Cohn
Tue Jun 28, 2011 11:05 am
- E&O Insurance
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- My Group
by Tad Borek » Fri May 13, 2011 6:46 pm - 10 Replies
- 13688 Views
- Last post by Tad Borek
Mon Jun 20, 2011 12:38 pm
- My Group
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- Passing Securities exams (Series 6,7, 11, 65, etc.)
by Rationalist » Tue May 24, 2011 4:52 pm - 3 Replies
- 10619 Views
- Last post by the observer
Thu Jun 02, 2011 8:45 pm
- Passing Securities exams (Series 6,7, 11, 65, etc.)
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- A Question about Touting
by Tad Borek » Fri Apr 01, 2011 11:13 am - 0 Replies
- 10429 Views
- Last post by Tad Borek
Fri Apr 01, 2011 11:13 am
- A Question about Touting
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- Policies and Procedures Template
by hoosierhog » Sat Feb 26, 2011 8:49 pm - 0 Replies
- 10626 Views
- Last post by hoosierhog
Sat Feb 26, 2011 8:49 pm
- Policies and Procedures Template
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- Account Minimum Fees versus AUM Fee
by MrJones » Wed Feb 16, 2011 11:38 am - 2 Replies
- 10828 Views
- Last post by MrJones
Wed Feb 16, 2011 4:46 pm
- Account Minimum Fees versus AUM Fee
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- C shares vs. ERISA
by HSG » Wed Nov 10, 2010 2:02 pm - 1 Replies
- 10926 Views
- Last post by Bob H
Wed Nov 10, 2010 3:55 pm
- C shares vs. ERISA
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- Performance Reports
by dlb » Fri Sep 10, 2010 12:40 pm - 2 Replies
- 11471 Views
- Last post by dlb
Mon Sep 13, 2010 11:01 pm
- Performance Reports
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- De Minimis Rule
by Rocket, CFP(R) » Sun Sep 12, 2010 9:15 am - 1 Replies
- 12314 Views
- Last post by the observer
Sun Sep 12, 2010 10:56 am
- De Minimis Rule
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- How to calculate AUM ??? Define according to SEC
by Rocket, CFP(R) » Thu Aug 19, 2010 5:58 pm - 3 Replies
- 13614 Views
- Last post by Rocket, CFP(R)
Sun Sep 12, 2010 9:19 am
- How to calculate AUM ??? Define according to SEC
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- Waiver letters...
by ahoyem8 » Fri Aug 20, 2010 11:16 am - 1 Replies
- 10997 Views
- Last post by Bradly T.
Fri Aug 20, 2010 12:56 pm
- Waiver letters...
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- Joining RIA - Need to know a few things
by R2D2 » Wed Aug 18, 2010 8:47 pm - 5 Replies
- 12669 Views
- Last post by R2D2
Thu Aug 19, 2010 8:06 pm
- Joining RIA - Need to know a few things
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- In The Interests Of Full Disclosure....
by the observer » Tue Jul 27, 2010 5:26 pm - 0 Replies
- 10893 Views
- Last post by the observer
Tue Jul 27, 2010 5:26 pm
- In The Interests Of Full Disclosure....
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- Cost for EIA Review by a BD
by Heather B » Thu Jul 08, 2010 11:57 am - 1 Replies
- 11157 Views
- Last post by northwoodsjoe
Thu Jul 08, 2010 5:22 pm
- Cost for EIA Review by a BD
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- Broker/Dealer Suggestion
by TommyC » Thu Apr 17, 2008 9:56 pm - 2 Replies
- 11817 Views
- Last post by Heather B
Thu Jul 08, 2010 11:47 am
- Broker/Dealer Suggestion
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- Compliance Manual Template?
by BCM » Sat Jun 19, 2010 7:08 am - 0 Replies
- 12138 Views
- Last post by BCM
Sat Jun 19, 2010 7:08 am
- Compliance Manual Template?
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- Divorce
by Peterb6086 » Mon May 24, 2010 11:17 am - 4 Replies
- 12388 Views
- Last post by the observer
Mon May 24, 2010 8:16 pm
- Divorce
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- Case Study - trading on May 6, 2010
by Tad Borek » Fri May 07, 2010 12:42 pm - 2 Replies
- 11506 Views
- Last post by Tad Borek
Mon May 10, 2010 4:49 pm
- Case Study - trading on May 6, 2010
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- Annual Compliance Review & The Cloud
by Tad Borek » Fri Jan 15, 2010 3:09 pm - 18 Replies
- 17942 Views
- Last post by the observer
Fri May 07, 2010 6:11 pm
- Annual Compliance Review & The Cloud
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- Fiduciary Ethos
by dontrone » Wed Apr 21, 2010 2:38 pm - 4 Replies
- 12694 Views
- Last post by HNWPlanner
Thu Apr 29, 2010 7:14 pm
- Fiduciary Ethos
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- More to the story: Ethics question looking for opinions
by MrC1 » Mon Feb 15, 2010 10:56 am - 5 Replies
- 12701 Views
- Last post by Bradly T.
Tue Feb 16, 2010 11:13 am
- More to the story: Ethics question looking for opinions
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- SEP IRA Contribution and SIMPLE IRA contribution problem
by ABFC » Wed Dec 30, 2009 8:56 pm - 6 Replies
- 14995 Views
- Last post by Tad Borek
Mon Jan 04, 2010 12:11 pm
- SEP IRA Contribution and SIMPLE IRA contribution problem
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- Ethics question looking for opinions
by MrC1 » Wed Dec 30, 2009 12:20 pm - 3 Replies
- 11778 Views
- Last post by Bradly T.
Wed Dec 30, 2009 5:54 pm
- Ethics question looking for opinions
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- CFP New Ethical Standards
by DebNY » Thu Sep 03, 2009 4:18 pm - 1 Replies
- 11294 Views
- Last post by planrman
Tue Nov 03, 2009 4:16 pm
- CFP New Ethical Standards
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- Revoking someone's license
by Zek, The Grand Nagus » Tue Oct 27, 2009 7:54 pm - 2 Replies
- 11646 Views
- Last post by Tad Borek
Fri Oct 30, 2009 12:44 pm
- Revoking someone's license
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- Charging a Fee to review a 401(k)
by BDE » Fri Oct 16, 2009 9:34 am - 2 Replies
- 11801 Views
- Last post by Bradly T.
Fri Oct 16, 2009 12:19 pm
- Charging a Fee to review a 401(k)
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- Branch Office Examinations
by Zek, The Grand Nagus » Fri Oct 09, 2009 10:12 am - 0 Replies
- 10842 Views
- Last post by Zek, The Grand Nagus
Fri Oct 09, 2009 10:12 am
- Branch Office Examinations
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- Power of Attorney for Discret'ry Trading in Held Away Accts.
by FIM » Tue Sep 29, 2009 7:45 pm - 5 Replies
- 13112 Views
- Last post by Tim T
Thu Oct 01, 2009 2:39 pm
- Power of Attorney for Discret'ry Trading in Held Away Accts.
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- RIA Registration Capital Requirement
by ReStart » Wed Sep 02, 2009 4:42 pm - 0 Replies
- 10916 Views
- Last post by ReStart
Wed Sep 02, 2009 4:42 pm
- RIA Registration Capital Requirement
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- Referral Gifts?
by jockey16 » Wed Jul 01, 2009 12:24 pm - 3 Replies
- 12554 Views
- Last post by rjc2
Mon Aug 10, 2009 5:08 pm
- Referral Gifts?
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- Compliance Issues combining P&C, Planning and mortgages
by GablesGuy » Tue Jul 14, 2009 3:58 pm - 1 Replies
- 11290 Views
- Last post by wealthone
Fri Jul 17, 2009 1:22 pm
- Compliance Issues combining P&C, Planning and mortgages
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- Client contract
by Peterb6086 » Thu Jul 02, 2009 9:08 am - 2 Replies
- 11393 Views
- Last post by flaplan
Tue Jul 07, 2009 1:49 pm
- Client contract
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- Fee Only Advisor sharing clients/fees with insurance company
by ScooterNY » Wed Jul 01, 2009 9:44 pm - 1 Replies
- 3997 Views
- Last post by wwood
Thu Jul 02, 2009 12:34 pm
- Fee Only Advisor sharing clients/fees with insurance company
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