Investment Adviser Compliance Update – Summer 2006

Stark & Stark’s Investment Adviser Regulation group is pleased to announce that the latest Investment Adviser Compliance Update has been published and is available for download.

The Summer 2006 edition covers topics including:

Risk Assessment

SEC’s New Examination Request List

Succession Planning Your Practice

Branch Office Registration

13-F

206(4)-7

You can download a copy of the latest Investment Adviser Compliance Upatehere (PDF).

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