Financial Industry Regulatory Authority / North American Securities Administrators Association Inc. / Constant Advisers LLC / Review Project Group / Gemini Associates Inc / / /
Event
Layoffs / Natural Disaster / /
IndustryTerm
State law provisions / investment advisory services / advisory services / applicable business entity law / financial services / /
Organization
U.S. Securities and Exchange Commission / United States Securities and Exchange Commission / NASAA Legal Department / FINRA / /
Person
A. Valerie Mirko / Patricia Struck / /
Position
adviser for financial services / mid-sized adviser / Chair of the Investment / Custodian / Representative / Deputy General Counsel / Adviser and an Adviser Representative / investment adviser representative / single investment adviser representative / proprietor / state-registered investment adviser / PROPOSED INVESTMENT ADVISER / Adviser Representative / adviser / attorney / advisory contracts / Investment Adviser / /
NOTICE OF REQUEST FOR PUBLIC COMMENT REGARDING A PROPOSED INVESTMENT ADVISER MODEL RULE AND GUIDANCE FOR BUSINESS CONTINUITY AND SUCCESSION PLANNING UNDER THE UNIFORM SECURITIES ACTS OF 1956 AND 2002 The Board of Directo