All: Industry Resources

Switch Eligibility

Who Switches? The switch will affect investment advisers with assets under management between $25 million and $100 million with a principal office and place of business in a state where investment advisers are required to be registered and, if registered, are subject to examination. Who Does Not Switch? Investment advisers will remain under SEC oversight […]

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IA Switch Resource Center

By signing the Dodd-Frank Wall Street Reform and Consumer Protection Act into law, President Obama set in motion a change for many mid-sized investment adviser firms.

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NASAA, NASD, and NYSE Regulation Applaud SEC Approval of New, Uniform Definition of "Branch Office" and Centralized Registration System

Action to Reduce Regulatory Burden on Firms Result of Joint Initiative Washington DC and New York (October 6, 2005) — New York Stock Exchange (NYSE) Regulation, NASD and the North American Securities Administrators Association (NASAA) today applauded the U.S. Securities and Exchange Commission (SEC) for approving a common definition of “branch office” in the securities […]

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NASAA, NASD, and NYSE Regulation Applaud SEC Approval of New, Uniform Definition of “Branch Office” and Centralized Registration System

Action to Reduce Regulatory Burden on Firms Result of Joint Initiative Washington DC and New York (October 6, 2005) — New York Stock Exchange (NYSE) Regulation, NASD and the North American Securities Administrators Association (NASAA) today applauded the U.S. Securities and Exchange Commission (SEC) for approving a common definition of “branch office” in the securities […]

2005 Headlines, Broker-Dealer, Industry Resources, Newsroom Read more