In this visual guide, we highlight some of the different qualifications for an RIA firm to transition to register with the Securities and Exchange Commission (“SEC”) as well as some filing requirements to which an SEC-registered RIA firm may now find itself subject to. We also discuss a few of the steps that need to be taken when going through the transition process.
This complementary and informative infographic contains:
- What qualifies a state-registered firm to transition to SEC registration.
- Relevant individual registration and RIA regulatory requirements for firms wanting to transition to SEC registration.
- An overview of the transition process.
Contact us for further assistance with the transition process.