Bates Compliance Director Rory O’Connor Quoted in ThinkAdvisor Article on the Surge in State-to-SEC Registrations

Bates Compliance Director Rory O'Connor was quoted in a recent ThinkAdvisor Trendspotter article on the surge in state-to-SEC registrations. In the article, Mr. O'Connor comments on what is fueling this recent rise in transitions, noting that Bates has “been trying to raise the red flag that [RIAs] have a tremendous amount of work ahead” of them when switching to SEC registration.

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