Think Advisor

State-Registered Investment Advisors, by the Numbers

The North American Securities Administrators Association’s newly released 2024-25 investment advisor section annual report highlights the work done by the NASAA Investment Advisor Section and its ...
JD Supra

Raising the Bar: SEC Evaluating an Increase in Minimum AUM Threshold for Investment Adviser Registration

On April 8, 2025, Acting SEC Chairman Mark T. Uyeda gave a speech signaling that the SEC may revisit the current minimum assets under management (“AUM”) threshold for federal registration, potentially ...
JD Supra

Acting Chairman Uyeda Suggests Revisiting the Role of State Securities Regulators in Connection with Mid-size Investment Advisers and Securities Registration

On April 8, 2025, then Acting Chairman Mark T. Uyeda of the U.S. Securities and Exchange Commission (“SEC”), highlighted in remarks before the Annual Conference on Federal and State Securities ...
InvestmentNews

Delays mar switch to state registration

Hundreds of midsize SEC-registered investment advisers are likely to miss this Thursday's deadline for completing their switch to state oversight, as mandated by the Dodd-Frank Act. Sources said that ...