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Tag: Arete

The Lure of Wyoming

Doug Cornelius February 11, 2015February 11, 2015 Compliance Programs   [+]

There is a long history of splitting financial regulatory oversight between state regulators and federal regulators. For investment advisers the split is based on Assets Under Management and Dodd-Frank raised the AUM level from $25 million to $100 million. Above that level you register with the SEC and below that level you register with the … Read more »

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