Compliance Solutions for Investment Advisers

New AUM Threshold for SEC Registration

Recently enacted SEC rules have clarified the assets under management requirement for SEC registration. While $100 million in AUM is the figure that has caught everybody’s attention, the actual workings of the new threshold are a bit more complicated. If you are currently SEC registered you only need at least $90 million in AUM as of your next annual updating amendment filing to stay SEC registered.

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