Alternative Options for SEC Registration with Under $25 Million AUM
Updated: June 24, 2026
by
Michelle Jacko
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. … Read More
They’re Coming – Preparing for Your Next Regulatory Examination
Updated: April 4, 2022
by
Michelle Jacko
Jan. 2009
Wolters Kluwer – Privacy Protections Required by Securities Firms: Compliance with the Evolving Regulatory Landscape
Updated: January 24, 2022
by
Core Compliance
Dec. 2008
Fund Managers Should Actively Review Disclosures and Portfolio Mandates
Updated: December 29, 2021
by
Michelle Jacko
Sept. 2008
Bank Advisor Magazine – The Effects of Regulation S-P on Your Business
Updated: January 24, 2022
by
Core Compliance
Jul/Aug. 2008
Newly Proposed Changes to Regulation S-P
Updated: December 29, 2021
by
Michelle Jacko
May 2008
Important Strategies to Consider for Reviewing your Disclosures
Updated: December 29, 2021
by
Core Compliance
Aug. 2008
