Understanding the New World of State RIA Regulation
This spring will mark a significant expansion of state regulatory authority over RIAs. Join our team of experts for an in-depth exploration and explanation of what advisers must do to prepare — and succeed — in light of the coming changes.
* * Pending CE credit by the CFP board.
Date: Tuesday, January 17, 2012
Time: 4:00 - 5:00 p.m. ET
Our experts will discuss:
- Which advisers must move to state registration?
- Which can stay with the SEC?
- How state oversight will differ.
- What advisers can expect from state examinations.
A free and invaluable resource. Listen to our expert panelists LIVE from your own desk. Ask questions about how changes in the state regulation will affect you.
PANELISTS:
Advanced Regulatory Compliance Inc.
President
MaketCounsel
Founder, Managing Director
ACA Compliance Group
Partner
MODERATORS:
InvestmentNews
Deputy Editor
InvestmentNews
Senior Editor
Sponsored by:
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