Investment Adviser Compliance Webinars: Understanding and Preparing for the ‘Switch’ for Mid-Sized Advisors

Time: 56 minutes

Description: Originally recorded on December 15, 2011, by RIA Compliance Consultants.

During this webinar, RIA Compliance Consultants discusses the rule changes and new rules affecting investment advisors with between $25 million and $100 million in assets under management (“mid-sized advisors”) that were recently adopted by the Securities and Exchange Commission under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Our consultants provide an overview of the new rules and changes to existing rules and discuss timing for any new requirements under these rules. We also discuss which investment advisors will be affected by these changes and what actions these investment advisors will need to take in order to comply with the new requirements to switch from SEC to state registration.