North Carolina Department of the Secretary of State
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North Carolina Department of the Secretary of StateElaine F. Marshall, Secretary of State Securities Division PO Box 29622 | Raleigh NC | 27626-0622 | (919) 733-3924 | (800) 688-4507 | www.sosnc.com Investment Adviser WorkshopRaleigh, NC“North Carolina Investment Adviser Regulation” The Securities Division of the North Carolina Department of the Secretary of State is offering the eighth workshop titled “North Carolina Investment Adviser Regulation.” The workshop is intended to provide North Carolina Registered Investment Advisers with a basic overview of the compliance issues surrounding their practice, common violations and what to expect during an audit. The workshop will be presented by the Securities Division staff. The workshop will cover: Books and records requirements, financial requirements, Form ADV, contracts, advertising, written supervisory procedures, best practices, common violations, what to expect during an audit, Q & A, and more. When: July 27, 2012 - 10:00 AM - 2:00 PM 10:00: Registration (Coffee and pastries) 10:30 - 12:00: RIA compliance issues 12:00 - 12:30: Investor education & lunch 12:30 - 1:30: RIA common violations & best practices 1:30 - 2:00: Q & A Where: NC Securities Division – Large Conference Room 4701 Atlantic Avenue, Suite 116, Raleigh, NC 27604 (Millbrook Collection Shopping Center at intersection of E. Millbrook Road and Atlantic Avenue) Who: Current NC Registered Investment Advisers and Representatives Anyone thinking about becoming a Registered Investment Adviser Switching Adviser with under $100 million in assets under management There is a registration fee of $25.00 per attendee that will cover workshop materials, handouts, refreshments and a box lunch. Seating is limited to the first 35 paid registrants. Additional dates may be added if there is sufficient demand. Indicate your interest by faxing the attached form; however, registration is not complete until payment is received. If you have questions regarding the workshop, please feel free to call or email John Maron at (919) 807-2106 or jmaron@sosnc.com. Facsimile
Please reserve my seat for ________ attendee(s) for the July 28, 2012 Investment Adviser Workshop. There is a $25.00 registration fee for each attendee. Payment at the door will not guarantee a lunch. Payment by check must be received in advance and received by July 16, 2012. Please make checks payable to: NC Department of Secretary of State Mail to: NC Department of Secretary of State Securities Division Attn: John Maron PO BOX 29622 Raleigh, NC 27626-0622 Please indicate each attendee’s name, email address and phone number below. (Please print legibly.) Attendee 1 __________________________________________________________________________ Attendee 2 __________________________________________________________________________ Attendee 3 __________________________________________________________________________ Attendee 4 __________________________________________________________________________ Directory: wp-content -> uploads -> 2011 2011 -> Voices of the Old Sea Norman Lewis 2011 -> Malevil Robert Merle 2011 -> The Elephant Keeper’s Children Peter Hoeg 2011 -> Jv packet •Mars Colonization Affirmative •Mars Colonization Negative 2011 -> Registration Form (Rev. 8-86) omb no. 1024-0018 2011 -> All America Looks Up to Virginia;” Virginia and the Declaration of Independence 2011 -> Rao bulletin 2011 -> Christopher Columbus was born between 25 August and 31 October 1451 in 2011 -> The Battle of Frenchtown (1855), Washington Territory: the Political and Demographic Context rev 9/4/11 2011 -> Seti aff •seti neg •Asteroids Aff Download 18.84 Kb. Share with your friends:
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