Alternative Adviser Registration Options

June 2009


In our April Risk Management Tip we discussed how a reduction in assets in
management to below $25,000,000 could force certain investment managers to deregister
with the SEC and register with the individual states in which they conduct
business. As each state has different rules this can often be confusing. If a firm conducts
business in more than one state it may find the firm is subject to different standards.
Further, individual state registration requirements can often be more expansive than that
which currently is required by the SEC.


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