Registered Investment Advisors (L2) Flashcards
1
Q
Registered Invesment Advisors
A
2
Q
Form ADV - Part 1
A
3
Q
Form ADV - Part 2
A
4
Q
Form ADV - Part 3
A
5
Q
EXCEPTION to Registration as an “Investment Advisor” with the SEC
A
TABLE
6
Q
EXCEMPTIONS to Registration as an “IA”
A
VIPs are SaFE from exemptions
Venture capital
Insurance companies
Private funds less than $150M,
home State
Foreign Advisors, and
securities not listed on a national Exchange
7
Q
Brochure Rule
A
8
Q
Financial Industry Regulatory Authority (FINRA)
A
Register with FINRA through FORM U-4
9
Q
Dodd-Frank Wall Street Reform and Consumer Protection Act (CPA)
A
10
Q
Regulation BI Obligations (Reg BI)
A
