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Category Archives: Registration

Make Sure You Properly Renew Your Investment Adviser Firm and Representative Registrations

Investment adviser firms and investment adviser representatives must maintain active registrations and/or notice filing statuses with applicable jurisdictions/states. Investment advisers should be aware that renewing registrations includes paying all applicable renewal fees by December 12, 2011. Unless properly renewed, all investment adviser firm and representative registrations will expire on December 31st of each calendar year. [...]

 
Posted by Bryan Hill
Wednesday, November 9, 2011
Labels: IARD, Registration, Renewals

 

IARD Renewal Reminder

The 2012 IARD renewal season is quickly approaching and investment advisor firms must plan accordingly.  As of October 24, 2011, investment advisor firms may submit certain post-dated filings. Post-dated Form U5 filings are used 1) to terminate an investment advisor representative from the investment advisor firm and 2) to terminate an investment advisor representative from [...]

 
Posted by Bryan Hill
Tuesday, November 1, 2011
Labels: IARD, Registration, Renewals

 

Follow-up Information for the Webinar, “The Switch Is On Again For RIAs”

A lot of important information regarding the upcoming requirement for mid-sized advisors to switch from SEC to state registration was provided during the recent webinar, “The Switch is On Again for RIAs,” hosted by Advisor4Advisor and presented by Tammy Emsick of RIA Compliance Consultants.  Therefore, we would like reiterate a few of the main points [...]

 
Posted by Bryan Hill
Monday, August 29, 2011
Labels: Registration, SEC, Switch from SEC to State

 

The “Switch” for Mid-Size Investment Advisers from SEC to State Registration

Click here for the abbreviated (9 minutes) version of our video about the new SEC rule switching certain mid-size ($25 million – $100 million of assets under management) investment advisers from SEC to state registration.  For the full (1 hour) version of this video, please click here. In this abbreviated version of our video, our senior [...]

 
Posted by Bryan Hill
Monday, July 18, 2011
Labels: Registration, SEC, Switch from SEC to State

 

The Switch from SEC to State Registration for Investment Advisers with Less than $100 Million of Assets under Management

The eligibility for registration as an investment adviser with the U.S. Securities and Exchange Commission (“SEC”) based upon the amount of assets under management will increase from the current minimum threshold of $25 million to a new threshold of $100 million pursuant to the Dodd-Frank Financial Reform Act, which passed on July 21, 2010. The [...]

 
Posted by Bryan Hill
Tuesday, August 31, 2010
Labels: NASAA, Registration, SEC, Switch from SEC to State

 

House Financial Services Committee Votes to Raise Assets Under Management for SEC Registration as Investment Adviser from $25 Million to $100 Million

Investment News is reporting that the Financial Services Committee of the U.S. House of Representatives passed today an amendment to the Investor Protection Act, H.R. 3817, whereby the general assets under management requirement to register with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser would increase from $25 million to $100 million. [...]

 
Posted by Bryan Hill
Thursday, October 29, 2009
Labels: Registration, SRO

 

Private Investment Advisers Registration Act is Passed by House Committee on Financial Services

The Financial Services Committee of the U.S. House of Representatives passed H.R. 3818, the Private Fund Investment Advisers Registration Act, which requires advisers to private funds to register with the U.S. Securities and Exchange Commission (“SEC”). The Wall Street Journal reported that the Committee agreed that private funds managing less than $150 million would be [...]

 
Posted by Bryan Hill
Wednesday, October 28, 2009
Labels: Hedge Funds, Registration

 

NASAA President Appears on Fox News as an Advocate of Raising the AUM Requirement for SEC Registration as an Investment Adviser

Denise Voigt, the Texas Securities Commissioner and incoming President of the North American Securities Administrators Association (“NASAA”), recently appeared on Fox News to discuss why state securities regulators have the experience and will to take on more regulatory authority with respect to registered investment advisers. In particular, the Texas Securities Commissioner repeated her previous call [...]

 
Posted by Bryan Hill
Monday, October 5, 2009
Labels: Registration

 

NASAA President Calls for Raising AUM to $100 Million for SEC Registration of Investment Advisers

In a recent speech at the North American Securities Administrators Association (“NASAA“) annual conference, Texas Securities Commissioner, Denise Voigt Crawford who is the incoming NASAA President, revealed that the SEC might raise the asset under management (“AUM“) threshold for SEC registration of investment advisers from $25 million to $100 million, and NASAA supports such a [...]

 
Posted by Bryan Hill
Saturday, September 19, 2009
Labels: Custody, Registration

 

Single Family Office Not Required to Register with SEC

The SEC recently granted an order under Section 202(a)(11)(G) of the Investment Advisers Act of 1940 (“Advisers Act”) declaring that a particular “family office” and its employees, when acting within the scope of their employment, are not required to register as investment advisers pursuant to Section 203(a) of the Advisers Act. The SEC granted this [...]

 
Posted by Bryan Hill
Wednesday, July 9, 2008
Labels: Registration, SEC

 
  

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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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