"Regulatory Reminders for Investment Advisers: Action Items for the Rest of 2012" by Scott Budlong and Kimberly Versace

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March 30, 2012

Many investment advisers have devoted significant attention in early 2012 to analyzing their registration obligations under the new Dodd-Frank rules revising the split between SEC and state regulatory authority.  As the end of the first quarter arrives, however, it may be useful for advisers to take stock of other regulatory items to keep in mind during the rest of the year.  In this memorandum, RK&O attorneys Scott C. Budlong and Kimberly M. Versace highlight some of the issues that advisers may have to identify and address in the months ahead. 

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