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

July 18, 2011

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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 compliance consultant discusses certain key requirements under the SEC’s new switch rule and the deadlines for mid-size investment advisers.

If your investment adviser falls into the SEC’s definition of a mid-size investment adviser, RIA Compliance Consultants is able to assist you with the transition from SEC to state registration.  If you would like to discuss engaging RIA Compliance Consultants, please click here to schedule a time for one of our consultants to call you.

Posted by Bryan Hill
Labels: Registration, SEC, Switch from SEC to State