Comments on: Proposed SEC Custody Rules Could Cost Advisers Extra $8,100

By: FP Pad » Blog Archive » Surprise Audit Provision Dropped From New SEC Custody Regulations

Thu, 17 Dec 2009 15:05:02 +0000

[...] previous posts on FPPad: Proposed SEC Custody Rules Could Cost Advisers Extra $8,100 and SEC Surprise Audit Proposal Likely to be Dropped According to [...]

By: FP Pad » Blog Archive » Surprise Audit Costs Severely Underestimated by SEC According to SIFMA

Thu, 06 Aug 2009 02:06:24 +0000

[...] wrote back in May about the SEC’s proposal to require surprise audits of Registered Investment Advisers who have custody of client assets. The proposal also clarified [...]

By: FP Pad » Blog Archive » Surprise Audit Proposal Likely to be Dropped According to FPA

Wed, 27 May 2009 19:25:38 +0000

[...] week I wrote about the proposed changes published by the SEC to require surprise audits of investment advisers who debit fees directly from clients’ accounts, falling under the [...]

By: Bill Winterberg

Bill Winterberg — Fri, 22 May 2009 02:41:29 +0000

Tim,

I added the link to the comment page.

By: TimK

TimK — Fri, 22 May 2009 01:04:11 +0000

the retainer fee provision that I added to my ADV earlier this year is looking better all the time…

can you add a link to the SEC comment form, if it’s online?