This document is a form related to SEC registration and reporting requirements for investment advisers. It includes criteria for eligibility to register with the SEC, such as having regulatory assets under management of $100 million or more. It also outlines state securities authority notice filings and reporting requirements for SEC-registered advisers and exempt reporting advisers.
documents/vol00010-efta01358578-pdf.pdf
{"document_type":"legal","key_locations":["United States"],"document_subtype":"SEC Registration/Reporting","key_organizations":["SEC"],"reference_numbers":["DB-SDNY-0046517","SDNY_GM_00192701","EFTA01358578"]}