State Securities Chiefs Speak About RIA Regulatory Overhaul

State Securities Chiefs Speak About RIA Regulatory Overhaul
Linda Cena
12/03/10 4 PM EST
IWI
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Three influential state securities chieftains will update IA reps and address their questions about the regulatory overhaul of RIAs at Friday’s Advisors4Advisors webinar.

The three speakers represent the North American Securities Administrators Association (NASAA), the association of state regulators playing a pivotal role in organizing the historic transition of 4,200 RIAs from federal to state oversight.

In this webinar, you'll learn:

  • how the shift is being implemented by states
  • what the switch means to multistate registrants
  • answers to most common questions asked by RIAs
  • important deadlines
  • Where to find information and support

Founded in 1919, NASAA is the voice of regulators across Canada and Mexico as well as the 50 states. The speakers are:

  • Linda Cena, chair of NASAA’s IA Section and Michigan Securities Director
  • Andrea Seidt, vice-chair of NASAA's IA Section and Ohio Securities Commissioner
  • Mike Huggs, chair of NASAA's IA Operations Project Group and Mississippi Securities Director

Bryan Hill and Chris Winn, CEOs of RIA compliance consulting firms who contribute to the compliance blog on Advisors4Advisors, will also be on hand to ask questions of the panel.

This webinar is approved for IMCA® CE credit.


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Very well done

I encourage all advisors that missed this session to catch the replay when it is posted. Linda, Andrea, and Mike did a wonderful job distilling the information that advisors need to know, including the transition requirements for SEC advisors moving to the states as well as the new ADV 2.

The slides will be very helpful as well as the key points are laid-out in the bullets.

Enjoy!

-Chris

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