On July 21, 2010, President Barack Obama signed the Dodd-Frank
Wall Street Reform and Consumer Protection Act ("Dodd-Frank") into law. Under
Dodd-Frank, federally registered investment advisers who manage assets under
$100 million will need to transition their registration from federal to state
(there are certain exceptions).
SEC IA Switch Resources
The Division of Finance and Corporate Securities welcomes new
Investment Advisory firms transitioning from the SEC as a result of Dodd-Frank
legislation. Examiners are available to assist your firm with all aspects of
the transition process. Click here for IA
Switch Resource information.
Please continue to check this website for further developments.
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