IA Recordkeeping and Reporting

Overview

This page is focused upon the recordkeeping and regulatory reporting requirements that apply to investment advisers registered under the Advisers Act. The additional requirements that apply to registered investment companies are covered on a separate page.

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Contributor Organization 
Contributor Title 
Partner
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Contributor Organization 
Contributor Title 
Associate
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Contributor Organization 
Contributor Title 
Associate

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IAA Sections, Rules and Forms