Webinars

The Securities and Exchange Commission (“SEC”) has adopted rules requiring approximately 3200 mid-sized advisors to switch from SEC registration to state registration.

At this webinar you’ll learn:

•          The background behind the new rules and rule changes
•          Which investment advisors will now be eligible for SEC registration
•          Requirements for advisors transitioning to state registration
•          The timeline for the state registration transition process
•          New Amendments to Form ADV

Guest Speaker Tammy Emsick is a Senior Compliance Consultant with RIA Compliance Consultants, which helps over 450 investment advisor firms navigate the maze of investment advisor compliance regulations. Her career in the securities industry began over 20 years ago, and includes serving as the RIA Compliance Director of one of the largest independent broker-dealers in the country.