Investment Adviser State Registration and De Minimus Exemption
Updated: July 9, 2026
by
Michelle Jacko
The de minimis exemption lets an investment adviser work with a small number of clients in a state without registering there. Under Section 222(d) of the Investment Advisers Act of 1940, a state generally cannot require an adviser to register … Read More
They’re Coming – Preparing for Your Next Regulatory Examination
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by
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The Importance of E-Mail Controls
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by
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SFAS 157 – Fair Value Measurements
Updated: April 4, 2022
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Newly Proposed Changes to Regulation S-P
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Top Areas of 2007 Deficiencies Noted by the SEC in San Diego’s CCO Outreach Program
Updated: December 29, 2021
by
Core Compliance
April 2008
