{"id":1564,"date":"2026-01-27T17:05:22","date_gmt":"2026-01-27T17:05:22","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1564"},"modified":"2026-02-17T17:11:54","modified_gmt":"2026-02-17T17:11:54","slug":"sec-proposal-could-reframe-how-regulatory-burden-is-evaluated-for-most-rias","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/01\/27\/sec-proposal-could-reframe-how-regulatory-burden-is-evaluated-for-most-rias\/","title":{"rendered":"SEC Proposal Could Reframe How Regulatory Burden Is Evaluated for Most RIAs"},"content":{"rendered":"\n<p>The SEC has proposed significant amendments to the definition of a \u201csmall entity\u201d as it applies to investment advisers under the Regulatory Flexibility Act (RFA).&nbsp;<a href=\"https:\/\/url.us.m.mimecastprotect.com\/s\/y-HPCn5mDkHl34xLCJhjHJ9p3_?domain=sec.gov\">See SEC Press Release Here<\/a>. The proposal would dramatically expand the population of advisers considered \u201csmall\u201d for regulatory-analysis purposes by increasing the regulatory assets under management (RAUM) threshold from $25 million to $1 billion, with future automatic inflation adjustments every 10 years.<\/p>\n\n\n\n<p>Importantly, these changes do not alter registration status, substantive compliance obligations, or examination authority, but they will materially affect how the SEC evaluates the regulatory burden of future rulemakings on advisers.<\/p>\n\n\n\n<p>To help you make sense of what this means for you and your clients, read the full article from our friends at <a href=\"https:\/\/sec3compliance.com\/\" title=\"\">SEC<sup>3<\/sup><\/a> <a href=\"https:\/\/sec3compliance.com\/sec-proposal-could-reframe-how-regulatory-burden-is-evaluated-for-most-rias\/\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The SEC has proposed significant amendments to the definition of a \u201csmall entity\u201d as it applies to investment advisers under the Regulatory Flexibility Act (RFA).&nbsp;See SEC Press Release Here. The proposal would dramatically expand the population of advisers considered \u201csmall\u201d for regulatory-analysis purposes by increasing the regulatory assets under management (RAUM) threshold from $25 million &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2026\/01\/27\/sec-proposal-could-reframe-how-regulatory-burden-is-evaluated-for-most-rias\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Proposal Could Reframe How Regulatory Burden Is Evaluated for Most RIAs<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21],"tags":[],"class_list":["post-1564","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1564","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1564"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1564\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1564"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1564"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1564"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}