Navigating the Process of Investment Adviser Registration


Sweeping regulatory changes made under the Dodd-Frank financial reform legislation expanded the scope and reach of the registration requirements under the Investment Advisers Act of 1940. Even as the process of registering under the Act appears to have become more thoroughly scrutinized and, as a result, more onerous, few would have expected this to be true. Read this whitepaper to learn about Regulatory Restructuring, Rule 206(4)-7 — The Compliance Rule, and Articulating the Registration Process.

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