You Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration


Mid-sized advisers that are no longer eligible for SEC registration were required to register with their relevant state and withdraw their registration with the SEC no later than June 28, 2012. As per a prior posting regarding adviser oversight, advisers with $25 million to $90 million in assets under management (AUM) now fall under state oversight.

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Published In: Finance & Banking Updates, Franchise Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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