Elizabeth MacBride

I was hoping to see info on the number of RIAs regulated by the states mentioned and how many examiners they have on staff to conduct exams. Do they feature similar ratios of examiners to advisers? If Oregon performs exams on a three-year cycle, then dividing the number of regulated advisers by three years can give us insight on how many exams per week/month the department aims to conduct. Do they have enough staff to meet that workload?

Bill &lt;a href="http://fppad.com"&gt;FPPad.com&lt;/a&gt;

We are definitely living in interesting times. 

I foresee the compliance environment becoming much more rigorous for many SEC RIAs subject to the “switch”. For a minority, compliance oversight will shrink to nothing.

Where are the dollars for increased state enforcement coming from? I’m I correct this is an unfunded federal mandate?

What to do about switched RIAs who currently “notice file” in several states? 

The idea of intrastate agreements is creative but I would suggest such states entering into such an agreement should also adopt uniform compliance statutes/regulations.

Todd &lt;a href="http://ria-law.com" rel="nofollow"&gt;www.ria-law.com&lt;/a&gt;

The big change RIAs should expect when the SEC punts to the states

Patricia Struck: The states are almost uniformly in a good position to take on more oversight.

FINRA

state regulators

Brian Hamburger

The RIA business is many good things but integrated from a gender standpoint is not one of them. This is not so great. Women are the majority of humanity and they have an asset-building strategy that can't be beat. Women outlive their beer-and-steak mates and end up with big estates. But today's women have too another strategy -- pursuing wealth in the workplace. Yet when they go to find fellow women to talk all this through with, they don't readily find them. 

Companies big and small have for decades fallen over themselves to say that they have women's initiatives but I can't think of one that has amounted to much. But there are stories-- dozens or hundreds -- of them about women exerting their influence on this business and we are starting to collect them. It's a starting place -- documenting the ground being covered by women in the form of engaging tales graphically depicted by the physiognomy of the fairer sex.

Women of Wealth Management

Advisors under states see more audits, tougher registration requirements and busybody lawmakers

The big change RIAs should expect when the SEC punts to the states

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