Updated Thursday, April 24, 2014 as of 1:22 PM ET
- RIAs
Small RIAs Move to State Regulation as SEC Begins Oversight of Private Fund Managers
by: Kenneth Corbin
Tuesday, November 6, 2012
Print
Email
Reprints

The regulatory overhaul put in place by the Dodd-Frank Act of 2010 has dramatically reshaped the compliance landscape for investment advisors, with more small firms moving to oversight at the state level, while many large, private fund advisors now find themselves under the purview of the SEC, according to a new survey of advisors jointly conducted by the trade group Investment Advisers Association and the National Regulatory Service, a provider of compliance and registration products for financial professionals.

Get access to this article and thousands more...

All Bank Investment Consultant articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

People
Bank Advisors on the Move

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN
Already a subscriber? Log in here