New Rules impacts how an Investment Firm Registers with its State office and the SEC.
Financial reform will have serious implications for investment advisers. The Dodd-Frank Wall Street Reform and Consumer Protection Act increased the qualification threshold for SEC registration to $100 million in assets under management. Although RIAs with less than $100 million in assets under management will usually be state regulated, a firm may choose to retain its SEC registration if it is required to register in at least fifteen states.
RND Resources professionals have guided numerous firms through their registration transitions. Along with drafting your Form ADV, we’ll help you complete any state-specific documents and will assist with all of IAR registration needs. We’ll even draft your new policies and procedures manual based on state regulations.
“I have hired Dave for several projects over the years. I keep coming back because Dave has a deep understanding of the regulatory issues we deal with, is capable of providing affordable solutions and occasionally offers solutions to problems which saved us money. Dave is my go-to-guy for all things FINRA/SEC.”
Jack T – July 11, 2011