Are investment advisors subject to any net worth/net capital or bonding requirements?
The SEC does not currently have a net worth/net capital or bonding requirement. However, the SEC will heavily focus on the financial condition of an investment advisor during a regulatory examination. The following are the specific financial records that must be kept as part of an investment advisor’s books and records. Most states require the same or similar records.
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- Are investment advisors subject to any net worth/net capital or bonding requirements?
