Updated Monday, July 28, 2014 as of 8:28 AM ET
- RIAs
Small RIAs Move to State Regulation as SEC Begins Oversight of Private Fund Managers
by: Kenneth Corbin
Tuesday, November 6, 2012

The regulatory overhaul put in place by the Dodd-Frank Act of 2010 has dramatically reshaped the compliance landscape for investment advisors, with more small firms moving to oversight at the state level, while many large, private fund advisors now find themselves under the purview of the SEC, according to a new survey of advisors jointly conducted by the trade group Investment Advisers Association and the National Regulatory Service, a provider of compliance and registration products for financial professionals.

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