How Will the SEC’s Proposed AUM Threshold Increase Affect my RIA?
In early April 2025, acting U.S. Securities and Exchange (SEC) Commissioner Mark T. Uyeda raised the possibility of increasing the asset threshold required for investment advisor registration with the SEC. With the confirmation and tenure of new SEC Commissioner Paul Atkins on April 21st, it is unlikely this idea will be withdrawn. This potential change […]
How the SEC’s New Marketing Rule Will Affect Your RIA Firm
How the SEC’s New Marketing Rule Will Affect Your RIA Firm In December 2020, the U.S. Securities and Exchange Commission (SEC) approved an amendment to Rule 206(4)-1 and rescission of Rule 206(4)-3 of the Investment Advisers Act of 1940 (the Advisers Act). The amendment creates a single rule that combines elements of the two rules, […]
SEC Extends Annual Form ADV Filing Due to COVID-19 Outbreak
SEC Extends Form ADV Filing Deadline to RIAs Amid COVID-19 Outbreak The U.S. Securities and Exchange Commission (SEC) has extended the Form ADV filing deadline for registered investment advisers (“RIAs”) impacted by the COVID-19 coronavirus outbreak. The filing extension is outlined in an order issued under the Investment Advisers Act of 1940 (Advisers Act). Under […]