Q: Who notifies SEC when employment is terminated from an RIA with ~$200 million in assets under management?
I recently quit a job I was at for 9 months. Do I notify the SEC that I left or do they? and if I do, how do I go about doing this?
A: Both of you have the responsibility to make sure the IARD is accurate but you are the one that may have consequences. Go to the SEC website for the forms and guidance. https://www.sec.gov/divisions/investment/iard/iardfaq.shtml
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