The Switch for MId-Sized Investment Advisers from SEC to State Registration

This video covers the SEC's new rule switching mid-size investment advisers from SEC to state registration.

RIA Compliance Consultants discusses certain requirements and deadlines under the SEC new switch rule for mid-size investment advisers ($25 million to $100 million of assets under management).




This video is offered only for educational purposes, is limited (not a thorough analysis of the subject), could be out of date, and may not apply to an investment adviser's specific situation. There is no warranty or guaranty associated with this video. Viewing this video does not constitute an engagement with RIA Compliance Consultants, Inc. and should not be considered a substitute for engaging a compliance professional.

For more information about RIA Compliance Consultants, Inc. and our services, please visit www.ria-compliance-consultants.com

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• Investment Adviser Compliance
• Investment Advisor Compliance
• RIA Compliance
• SEC
• Securities