Term
| Minimum time for brochure delivery |
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Definition
| 48 hours (prior to entering a contract) |
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Term
| Time for insiders filing changes in ownership status with the SEC |
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Definition
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Term
| Cancellation period for those receiving brochure at contact initiation |
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Definition
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Term
| Minimum time for federal documents to have been on file under registration by notification |
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Definition
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Term
| Time for delivery under the brochure rule (when requested) |
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Definition
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Term
| Minimum time for federal documents to have been on file under registration by coordination |
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Definition
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Term
| (Within 10 days of quarters' end) -- Time for recording transactions in a client account |
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Definition
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Term
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Definition
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Term
| Time for reporting new status as an insider |
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Definition
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Term
| Grace period under the USA for filing with the state as an agent when the client is a new resident customer |
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Definition
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Term
| Grace period under the USA for using discretion without written authority |
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Definition
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Term
| Maximum time for the Administrator to provide a hearing if an applicant's registration has been suspended or postponed |
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Definition
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Term
| Length of SEC cooling-off period |
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Definition
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Term
| Maximum period permitted for client acceptance of a letter of rescission |
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Definition
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Term
| Effective date for all periods |
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Definition
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Term
| Time for Administrator's approval of applicant's registration |
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Definition
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Term
| Time for filing amendments to ADV II |
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Definition
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Term
| Effective period for registration withdrawal |
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Definition
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Term
| Grace period for firm/agent registration when a client visits a new state |
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Definition
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Term
| SEC time for granting IA registration when a client visits a new state |
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Definition
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Term
| Time from the end of the quarter from filing of Form 13F |
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Definition
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Term
| Time from the end of the calendear year for amending Schedule 13G |
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Definition
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Term
| Grace period for agent registration when a client moves to a new state |
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Definition
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Term
| Maximum time for appeals under the USA |
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Definition
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Term
| Maximum time for appeals under an SEC violation |
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Definition
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Term
| Effective date of withdrawal after filing form ADV-W |
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Definition
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Term
| Time for completion of an IRA rollover |
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Definition
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Term
| Duration of the wash sale window |
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Definition
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Term
| Grace period for former federally covered IAs to register with state (using Form ADV-W) |
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Definition
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Term
| Time schedule for federally covered adviser to file Form ADV nonmaterial updates with the SEC |
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Definition
| 90 days (of fiscal year end) |
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Term
| Time for an IC to delvier financial reports to shareholders |
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Definition
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Term
| Time for an IC to deliver financial reports to the SEC |
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Definition
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Term
| Lock-up period for those who sign an ivnestment letter under Regulation D |
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Definition
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Term
| Records must be easily accessible under SEC rules |
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Definition
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Term
| Record-keeping requirement for broker-dealers under SEC rules |
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Definition
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Term
| Maximum prison sentence under the USA |
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Definition
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Term
| Time for records to be kept upon termination of a business |
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Definition
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Term
| Statute of limitations for civil actions under the USA (From the date on which the advice was given of the transaction was executed, or within two years of discovery) |
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Definition
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Term
| Statute of limitations for criminal acts under the USA |
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Definition
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Term
| Statute of limitations under ITSFEA |
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Definition
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Term
| Record-keeping requirement for IAs under federal and state law |
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Definition
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Term
| Time for reporting felony or misdemeanor convictions when registering |
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Definition
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Term
| Time for partner's/officer's/director's history under Form ADV Part 1 |
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Definition
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Term
| Maximum sentence for violation of the Investment Advisers Act |
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Definition
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Term
| Maximum sentence for insider trading |
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Definition
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Term
| Expiration date for all registrations under the USA |
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Definition
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