Sorady, Marybeth; Domina, Daren; Cohen, Wendy; Santo, Fred - In: Journal of Investment Compliance 12 (2011) 4, pp. 4-17
Purpose – This paper aims to explain the rules recently adopted by the Securities and Exchange Commission under the provisions of the Dodd‐Frank Wall Street Reform and Consumer Protection Act relating to the increased asset threshold for federal registration as an investment adviser, the new...