Investment Adviser Regulations: The Complete Guide
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Introduction
0:00 - 0:06
The Core Question
0:06 - 0:31
The ABC Test
0:31 - 0:55
AUM Thresholds
0:55 - 1:24
SEC Registration Exceptions
1:24 - 1:53
Exclusions (Part 1)
1:53 - 2:17
LATE Professionals
2:17 - 2:41
Broker-Dealers vs. Advisers
2:41 - 3:03
Publishers & Federal Advisers
3:03 - 3:32
State Registration Exemptions
3:32 - 4:05
Registration Process
4:05 - 4:28
Brochure Delivery Timing
4:28 - 4:52
Ongoing Maintenance
4:52 - 5:18
Net Worth Requirements
5:18 - 5:44
The Custody Rule
5:44 - 6:13
Fiduciary Duty
6:13 - 6:37
Operational Standards
6:37 - 7:04
Summary
7:04 - 7:30
Outro
7:30 - 7:36