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.

NRS* may email you to keep you up-to-date with what is happening, including industry insights, upcoming events and our product capabilities. We will let you select what emails you receive and change your preferences at any time.

If you do not wish to receive these emails tick the box to opt-out

*NRS is a tradename of Reed Business Information Limited. By registering your details, you understand that your personal data will be handled according to our Privacy Policy


Thank you

Thank you for your interest in our resources and insights. You can access “Navigating the Process of Investment Adviser Registration” by clicking the link below.

If you have any questions or if you would like to speak with one of our representatives, please do not hesitate to contact us.

Download the Navigating the Process of Investment Adviser Registration Whitepaper