Regulator outlines key Dodd-Frank provisions for investment advisers

Investment advisers are racing to keep up with numerous changes under the Dodd-Frank Act, including new registration and reporting requirements and an overhaul of the exemptions provided within the Investment Advisers Act. The changes were discussed during the Compliance Outreach Program National Seminar recently hosted by the Securities and Exchange Commission. Read on to learn what a top SEC regulator identified as the key issues facing advisers.