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.

LOADING PDF: If there are any problems, click here to download the file.