Investment Adviser Workshop: the New Form ADV Part

Investment Adviser Workshop: the New Form ADV Part

Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch The IA SwitchSo Far Richard Jaramillo Examiner The IA Switchso

far History of AUM threshold National Securities Markets Improvement Act of 1996 (NSMIA) Why the Switch? Challenges Staffing Streamlining the Review Process

The IA Switchso Implementing Dodd-Frank far TIME FRAME OVERSITE OF INVESTMENT ADVISERS November 2010

Propose rules implementing the exemptions from registration for advisers to venture capital firms and for certain advisers to private funds. (Division adopted its own rule earlier this year) November 2010 Propose rules and changes to forms to implement the

transition of mid-sized investment advisers ($25 to $100 million in assets under management) from SEC to State regulation. Jan Mar 2011 Propose (with CFTC) rules to implement reporting obligations on advisers related to the assessment of systemic risk.

Jan Mar 2011 Propose rules to adjust the threshold of qualified client Apr July 2011 Adopt rules The IA Switchso

far Coordination between NASAA and the SEC ongoing Submit Questions on NASAA.org IA Switch Resources Guidance Coming Soon The IA Switchso

far NASAA.org The IA Switchso far NASAA.org The IA Switchso far

NASAA.org For more information, please call (801) 530-6600

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