On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending.
Starting a registered investment advisor (RIA) firm could be a logical next step in your career if you're ready to leave your current company behind and strike out on your own. Working as an independent RIA can allow for greater flexibility while putting you in control of your growth trajectory. That being said, it's not […] The post How to Start a Registered Investment Advisor (RIA) Firm appeared first on SmartReads by SmartAsset.
Becoming a registered investment advisor (RIA) is something you might consider if you'd like to help investors manage their assets. If you're interested in how to become an investment advisor, getting a college degree in finance or a related field is usually the first step. There are, however, some other requirements you'll need to meet […] The post How to Become a Registered Investment Advisor in 5 Steps appeared first on SmartReads by SmartAsset.
Registered investment advisers to private funds clients are required to make filings with the Securities and Exchange Commission (SEC) each year and deliver certain information.