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Report sheds light on investment advisers’ transition to state oversight
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Dodd-Frank Basics
Tuesday, October 15, 2013
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New numbers tracking regulatory deficiencies among investment advisers indicate advisers successfully navigated a Dodd-Frank-mandated switch from federal to state oversight.
Title IV of the Dodd-Frank Act raised the threshold for Securities and Exchange Commission registration to $100 million by creating a new category of advisers called “mid-sized advisers.” About 2,100 mid-sized investment advisers with assets under management between $30 million and $100 million switched from federal to state oversight earlier this year, according to the North American Securities Administrators Association (NASAA).
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