State vs. SEC regulation for RIAs
Jun 10, 2010 5:03 pm
Writing about the SEC oversight threshold being upped to $100 million from $25 million.
Looking to speak with RIAs under $100mil who will have to now register with the state..what are your thoughts?
Do you care? What will it cost? What if you do biz in more than one state?
Give me shout
212.204.4254
Source URL:https://www.wealthmanagement.com/forums/rias-independents/state-vs-sec-regulation-rias