Important information for investment advisors

Dodd-Frank Financial Reform Bill

On July 21, 2010, President Barack Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") into law. Under Dodd-Frank, federally registered investment advisers who manage assets under $100 million will need to transition their registration from federal to state (there are certain exceptions).

SEC IA Switch Resources

The Division of Finance and Corporate Securities welcomes new Investment Advisory firms transitioning from the SEC as a result of Dodd-Frank legislation. Examiners are available to assist your firm with all aspects of the transition process. Click here for IA Switch Resource information.

Please continue to check this website for further developments. Call us at (503) 378-4140, or email us at dcbs.dfcsmail@state.or.us.