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Criminal Law

: SECLaw.com

New Issue for Federally Registered Advisers

By Mark H. Astarita, Esq.

With the markets down 40% or so in the last few months, federally registered investment advisers are facing a new issue - the potential loss of the ability to maintain their federal registration.Investment advisers with over $30 million in assets under management must register with the SEC. Advisers with assets over $25 million have the option to register with the SEC. While those are the asset under management issues that have come up over the past few years, we are now seeing a new issue - wha read more

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Full post as published by SECLaw.com on October 17, 2008 (boomark / email).

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