entity · derived

Mid sized advisers

2 claims across 1 works, 2013–2013.

Derived node: assembled mechanically from the claims carrying mid-sized-advisers. A roster, not an adjudicated definition.

Every claim under this term

• 2337268-011 2013 definitional: Mid-sized investment advisers, those with between $25 and $100 million AUM, fall to state authorities rather than the SEC, though they may still have to register with the state agency where their prin
• 2337268-012 2013 condition: Where a state does not provide sufficient regulation of mid-sized investment advisers, oversight reverts to the SEC, so state level regulatory gaps trigger a federal backstop rather than leaving advis

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