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How To Register And Remain Registered With The SEC As An Internet Investment Adviser

Nerd's Eye View

Understanding that this would place an unnecessarily heavy burden on advisors, the SEC issued an exemption in 2002 allowing for certain "Internet advisers" to register with the SEC even though they wouldn't otherwise qualify to do so.

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SEC Narrows Scope of Internet Adviser Exemption

XY Planning Network

Since its approval by the SEC in 2002, the Internet Adviser Exemption has gained increasing popularity and interest among advisers as a possible path to SEC registration, especially if the adviser may not otherwise qualify for federal registration.

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Bracketology (2025 Edition)

The Better Letter

In June 2002, electrician Mike McDermott won £194,501 on the UK National Lottery after correctly choosing five numbers and the bonus ball. Rumor had it that this was part of a quiet agreement between regulators and internal compliance officials, who were understandably concerned about what had gone on. It was even enforced.

Numbers 75
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Breakout Confirmed

Carson Wealth

This still leaves it higher than at any point between 2002 and 2022. Compliance Case # 01787581 The post Breakout Confirmed appeared first on Carson Wealth. Prime age also circumvents demographic changes. The good news is that the prime-age employment-population ratio dropped only a tick, from 80.8%

Economy 52
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The Impact of Public Retirement in Texas

Park Place Financial

The law also includes compliance standards for FSRPs. Texas Legislature offered several benefit increases in the 1980s and 90s when the debt was lower, but no increases have occurred since 2002. Under the present ERS-defined benefit plan, there is no benefit increase during retirement—13 th check or otherwise.

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Transcript: Jonathan Clements

The Big Picture

I did it in 2000, 2002. It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. It’s, it’s a temporary move. But you know, I’ve done it repeatedly. I did it in 2008 in oh nine. 00:21:46 Everything was a headache.

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Market Commentary: Stocks Keep Chugging Along

Carson Wealth

Those new lows took place in 2002 before a generational three-year bear market and before the COVID-induced bear market and a 100-year pandemic. Compliance Case # 01772498 The post Market Commentary: Stocks Keep Chugging Along appeared first on Carson Wealth. on average.