Move to state regulation is a problem for small investment advisers

10/4/2010 | InvestmentNews (free registration)

The Securities and Exchange Commission and state securities regulators are working their way through the complex task of migrating investment advisers with assets under management between $25 million and $100 million to state regulation. Melanie Senter Lubin, Maryland securities commissioner, said advisers might want to wait until January before pursuing state registration.

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