Introductory Note

The state registration process can vary greatly from state to state as each state has it own unique registration requirements. As a result, the information provided herein is meant to be general in nature and does not represent the requirements of any one particular state. Accordingly, registrants for state registration should always check the rules and regulations of each state in which they plan on registering for the specific registration requirements of that state.

 

Registration Basics

[accordions] [/accordions]

 

Regulatory Assets Under Management

[accordions] [/accordions]

 

State Registration Process

[accordions] [/accordions]

 

Compliance

[accordions] [/accordions]

 

Regulatory Examinations

[accordions] [/accordions]

 

Important Information

The information contained in this Frequently Asked Questions is only a summary and is not intended to be a comprehensive analysis of the rules and regulations applicable to registered investment advisers. It is not intended to constitute legal or compliance consulting advice or apply to any one investment adviser’s particular situation. For more information, please see our Terms of Use.