Tuesday, August 9, 2011


A few things have changed due to Dodd Frank. Some items could be testable. You can get a free update at www.passthe65.com/updates or www.passthe66.com/updates. The main changes have to do with the ADV Part 2, which will be in narrative vs. check-box format, and will have a supplement on the IARs overseeing/involved with a client's account. Also, AUM is now $100m for SEC (federal covered) eligibility.