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RIA Switch Package
Make the "switch" in time!
- Are you an RIA that will now be a "mid-size" investment adviser?
- Do you need to know how to calculate "regulatory assets under management?"
- Are you confused about deregistration with the SEC and registration with the state securities administrator?
Based on the Dodd-Frank Act, SEC Rule 203A-5 requires a "switch" in registration for those federal registered advisors currently between the $25 million and $100 million asset threshold.
The switch will take place during the first quarter 2012. It is critical that you familiarize yourself with the process as soon as possible!
This RIA Switch Package offers you three informational white papers to give you what you need to know to make the switch.
- The Switch - An Overview of Deadlines and Regs
- Instructions for Investment Adviser Registration
- Calculating Regulatory Assets Under Management
- IARD/CRD Renewal Calendar Deadlines
The RIA Switch Package is available here as a stand-alone compliance resource. You can also purchase it as part of the RIA Do-It-Yourself Guide, which includes even more information about Form ADV, Client Agreements, Recordkeeping, and other useful tidbits.
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