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Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

Join Richard Jaramillo for an informative workshop on the New Form ADV Part 2, new rules, and the IA Switch. Explore the history, challenges, and staffing considerations in implementing the Dodd-Frank regulations. Stay updated with the coordination between NASAA and the SEC, submit questions on NASAA.org, and access helpful resources. For more information, call (801) 530-6600.

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Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

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  1. Investment Adviser Workshop:the New Form ADV Part 2, New Rules, and the IA Switch

  2. The IA Switch…So Far Richard Jaramillo Examiner

  3. The IA Switch…so far • History of AUM threshold • National Securities Markets Improvement Act • of 1996 (NSMIA) • Why the Switch? • Challenges • Staffing • Streamlining the Review Process

  4. The IA Switch…so far Implementing Dodd-Frank

  5. The IA Switch…so far • Coordination between NASAA and • the SEC ongoing • Submit Questions on NASAA.org • IA Switch Resources • Guidance Coming Soon

  6. The IA Switch…so far NASAA.org

  7. The IA Switch…so far NASAA.org

  8. The IA Switch…so far NASAA.org

  9. For more information, please call (801) 530-6600

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