Some Inside Scoop – Part 2

posted in: Registration & Licensing | 0

I spoke with a senior state regulator who told me point blank that the best thing I can tell clients who need to transition from SEC to state registration due to the increased AUM threshold, is start early.  She said if you know you need to transition – e.g., you are nowhere close to the $90 million AUM mark – you should start right after the first of the year.

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