Division of Securities Compliance Tips

Investment Adviser Compliance Alert: Common Deficiencies Relating to Direct Fee Deductions from Client Accounts Held at Custodians

Investment Adviser Compliance Alert: Cybersecurity

Investment Adviser Compliance Alert: Registration of Associated Persons

Investment Adviser Compliance Alert: Fingerprint Requirements

Investment Adviser Compliance Alert: Branch Office Notice Filing

Investment Adviser Compliance Alert: Annual Financial Statement Filing Requirement

Investment Adviser Compliance Alert: Financial Statements Must be Prepared on Cash Basis

Investment Adviser Compliance Alert: Requirements for Unaudited Financial Statements

Investment Adviser Compliance Alert: Requirements for Audited Financial Statements

Investment Adviser Compliance Alert: Requirements to Maintain Principal

Investment Adviser Compliance Alert: Renewals for Investment Advisers, Associated Persons, and Branch Offices