Guest Article (FTFNews) - September 1, 2010
Investment Advisor Registration Guest Article with FTFNews
An investment advisor is any entity that provides fee-based advice regarding the buying and selling of securities. Under the Investment Advisers Act of 1940, investment advisors are required to register with either the SEC or the state - which one would depend upon the firm's assets under management (AUM). Investment advisor registration requirements have changed under the Dodd-Frank Wall Street Reform Act. The SEC is currently working to implement the provisions of Act so all details are not yet known and certain aspects remain unclear; however, it seems that in regards to investment advisor registration requirements there will be two major changes to prior regulations.
Read the full article at: http://blog.ftfnews.com/bid/43960/Investment-Advisor-Registration-Requirements
An investment advisor is any entity that provides fee-based advice regarding the buying and selling of securities. Under the Investment Advisers Act of 1940, investment advisors are required to register with either the SEC or the state - which one would depend upon the firm's assets under management (AUM). Investment advisor registration requirements have changed under the Dodd-Frank Wall Street Reform Act. The SEC is currently working to implement the provisions of Act so all details are not yet known and certain aspects remain unclear; however, it seems that in regards to investment advisor registration requirements there will be two major changes to prior regulations.
Read the full article at: http://blog.ftfnews.com/bid/43960/Investment-Advisor-Registration-Requirements
Post a Comment
