?? FINRA Renewal Program: Important Dates FINRA Renewals Program: FINRA’s Renewals Program, including that Preliminary Statements started rolling out Nov. 11 and full payment is due by Dec. 9.
Altitude Securities Law Office
律师事务所
Edmond，Oklahoma 1,197 位关注者
We are a boutique law firm focused on bringing a modern yet professional approach to the financial industry.
关于我们
We are a boutique law firm with experienced attorneys who represent individuals and companies in the financial services industry, including Investment Advisors, Broker-Dealers, and Private Funds. We help our clients in all aspects of their business, whether they are starting out in the financial services industry, need guidance along the way, or are nearing the end of their career looking to retire.
- 网站
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https://altitudeseclaw.com/
Altitude Securities Law Office的外部链接
- 所属行业
- 律师事务所
- 规模
- 2-10 人
- 总部
- Edmond，Oklahoma
- 类型
- 合营企业
地点
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主要
获取路线
US，Oklahoma，Edmond，73034
Altitude Securities Law Office员工
动态
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?? At Altitude Securities Law Office, we're taking a moment to recognize these important causes this November: During National Diabetes Month, we honor the 37+ million Americans living with diabetes and support ongoing research for better treatments and ultimately a cure ?? As we observe Lung Cancer Awareness Month, we stand with those affected by the leading cause of cancer deaths and advocate for early screening and prevention ?? This National Family Caregivers Month, we celebrate the selfless individuals who provide essential care to loved ones, often balancing their own careers and families while making a profound difference in others' lives ?? #NovemberAwareness #Community #Healthcare #CorporateCitizenship
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Are you compliant with SEC 13F filing requirements? Key points to remember: - Who must File? Institutional managers with $100M+ in 13(f) securities - What is considered a 13(f) security? US stocks, ETFs, certain equity options & convertible debt - When must a 13(f) report be filed? 45 days post-quarter end after reaching the $100m threshold and within 45 days of every quarter end thereafter. Non-compliance risks: ? Civil penalties ? SEC investigations ? Reputational damage Need help navigating these complex requirements? Our firm specializes in keeping investment advisers compliant and protected. Questions? Drop them below! ?? #SECCompliance #InvestmentAdvisers #RegulatoryLaw
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?? FINRA Renewals Program: See the featured entry above regarding FINRA’s Renewals Program, including that Preliminary Statements will be available starting Nov. 11 and full payment is due by Dec. 9. https://lnkd.in/gpce7n74
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Is your firm prepared for potential threats? ? Regularly assess risk exposure to maintain operational resilience ? Mitigate litigation and regulation risks ? Empower RIA Owners to make informed decisions to strengthen compliance posture and safeguard your business ?? What's your top risk management practice #RiskManagement #OperationalResilience #ComplianceStrategies
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As financial professionals, your focus is on your clients' futures. But have you considered your own? Preparing for the future is key for financial advisors. Make sure to begin your succession planning early to ensure a seamless transition for you and your clients and to protect your life's work. Let's discuss strategies to elevate your business for long-term success. ? Comment below to share your thoughts on succession planning! ?? #FinancialAdvisors #SuccessionPlanning #BusinessStrategy
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