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Category Archives: Switch from SEC to State

SEC Publishes Frequently Asked Questions Regarding Switch of “Mid-Size” Investment Advisers

The U.S. Securities and Exchange Commission (“SEC”) posted a webpage with frequently asked questions regarding the switch of “mid-size” investment adviser ($25 million to $100 million of assets under management) from the SEC to state securities regulator(s). Although the initial information about the “mid-size” investment adviser switch on this webpage is somewhat limited, there are [...]

 
Posted by Bryan Hill
Thursday, July 21, 2011
Labels: 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

 

Maintaining Investment Advisor Books and Records

A registered investment advisor is required to make and keep true, accurate, and current certain books and records relating to its investment advisory business.  For investment advisors registered with the U.S. Securities and Exchange Commission (“SEC”), these required books and records are outlined in Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”).  Each investment advisor registered with the SEC [...]

 
Posted by Bryan Hill
Tuesday, July 12, 2011
Labels: Books Records, Record Keeping, Switch from SEC to State

 

Kansas Securities Commissioner Issues Guidance Regarding SEC’s New Switch Rule for Mid-Size Investment Advisers

On July 5, 2011, the Kansas Securities Commissioner issued a letter to investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) that are also notice filed in Kansas regarding the SEC’s new rule switching mid-size investment advisers (with assets under management between $25 million to $100 million) from the jurisdiction of the SEC [...]

 
Posted by Bryan Hill
Thursday, July 7, 2011
Labels: Form ADV, SEC, Switch from SEC to State

 

SEC Approves New “Switch” Rule for Mid-Sized Investment Advisors

Earlier this week, the U.S. Securities and Exchange Commission (“SEC”) approved a new rule “switching” regulatory responsibility from the SEC to state securities regulators for mid-size investment advisers (between $25 million and $100 million of what will now be known as “regulatory” assets under management). Here is a summary of certain key aspects of the [...]

 
Posted by Bryan Hill
Friday, June 24, 2011
Labels: SEC, Switch from SEC to State

 

SEC Rule Release Explaining Switch for Mid-Sized Investment Advisers

The U.S. Securities and Exchange Commission (“SEC”) posted a link to the new rule release explaining the “switch” for mid-sized investment advisers ($25 million – $100 million of assets under management) from the SEC to state securities regulators. Click here to view the details of the switch.

 
Posted by Bryan Hill
Thursday, June 23, 2011
Labels: SEC, Switch from SEC to State

 

SEC May Delay “The Switch” to State Securities Regulators for Mid-Sized Investment Advisors

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), an investment adviser who has between $25 million and $100 million in assets under management will have to withdraw its registration with the U.S. Securities and Exchange Commission (“SEC”) and register with one or more state securities regulators pursuant to the applicable state [...]

 
Posted by Bryan Hill
Monday, April 18, 2011
Labels: SEC, Switch from SEC to State, Uncategorized

 

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

 
  

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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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