EXPERT GUIDANCE FOR A SEAMLESS SEC REGISTRATION PROCESS
ERA to SEC Registered Advisor: Simplify Your Transition
Transitioning to SEC registration requires understanding complex regulations and implementing a robust compliance framework. With STP Investment Services and our comprehensive ERA to SEC Registered Advisor Guide, you’ll learn how to:
- Determine your registration requirements
- File Form ADV accurately and avoid delays
- Develop tailored compliance policies
- Appoint a Chief Compliance Officer
- Maintain detailed records to meet SEC standards
Ready to tackle T+1 with ease?
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RECENT INSIGHTS
Exempt Reporting Advisers Transitioning to Registered Investment Advisers
Gain valuable guidance on regulatory changes, compliance requirements, and strategic considerations to help you navigate the transition smoothly and maintain client trust. Our latest blog covers key topics such as:
- Key regulatory requirements and compliance challenges
- Steps to ensure a smooth transition from ERA to RIA
- Tips for maintaining client relationships during the transition
- Long-term benefits of registering as an RIA
SEC Registration Simplified for Your Firm.
Our ERA to SEC Registered Advisor Guide provides the step-by-step process of registering properly and complying with the Advisers Act requirements.
