The Margin Between State And SEC Regulation Widens To Give RIAs More Flexibility Hot

ScottMartinScottMartin  
 
 
0.0 (0)
Write Review

 

It turns out that the SEC is letting advisory firms with assets under management between $90 million and $110 million choose their regulator.

 

This gives these firms some vital flexibility when it comes to market-driven AUM fluctuations in particular.

 

Otherwise, if the $100 million limit mandated by Dodd-Frank was strictly enforced, RIAs on the edge could find themselves having to switch from SEC to state regulation after a bad market day, only to switch back once the markets recover.

 

 

 

 

 

This Website Is For Financial Professionals Only


User reviews

There are no user reviews for this listing.
Already have an account? or Create an account