A registered investment adviser (RIA) that has “custody” of client funds or securities must comply with the provisions of Rule 206(4)-2 under the Investment Advisers Act of 1940 (Rule), including those related to the use of a...more
4/3/2020
/ Coronavirus/COVID-19 ,
Custodian of Records ,
Custody Rule ,
Division of Investment Management ,
Filing Requirements ,
Form ADV ,
Investment Advisers Act of 1940 ,
Private Offerings ,
Registered Investment Advisors ,
Relief Measures ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Verification Requirements