Mixed Signals, but Hope, for a Private Adviser Broker-Dealer Exemption
Milbank
May 8, 2013
8 pages
Tuesday, Jun 18th
Last update09:33:34 PM
Rules, Regulation & Guidance
2011
SEC Actions Dodd-Frank Act Provisions on Investment Adviser Registration
Trending ..... SEC Proposes Money Market Reforms ..... SIGA Technologies & Enforceability of Term-Sheets ..... In re MFW Shareholders Litigation: Going-Private Merger gets BJR Treatment ..... Broker-Dealer Faces FCPA, Travel Act and Securities Fraud Charges for Venezuelan Payments ..... SEC Charges City of Harrisburg with Securities Fraud for Fraudulent Public Statements ..... SEC Proposes Rules for Cross-Border Security-Based Swap Activities ..... Ralph Lauren Settles FCPA Charges ..... SEC/CFTC Issue Identity Theft Rules ..... Netflix Report: Regulation FD & Social Media ..... In re Puda Coal: Claims Against Chinese Directors Get Go Ahead ..... SEC Speaks ..... Say-on-Pay Litigation ..... SEC Eyes Up Private Equity ..... DOJ/SEC Issue FCPA Guidance ..... Iran Sanctions Include SEC Disclosure Mandate .....
Mixed Signals, but Hope, for a Private Adviser Broker-Dealer Exemption
Milbank
May 8, 2013
8 pages
Guide to SEC Investment Adviser Registration for Hedge Fund and Private Equity Fund Managers
Bingham
July 13, 2012
35 pages
SEC Announces New Three-Part Examination Strategy for Newly Registered Private Fund Advisers
Gibson Dunn
May 22, 2012
2 pages
Implementing Amendments to the Investment Advisers Act of 1940
Skadden
November 4, 2011
Overview of New Investment Adviser Oversight Rules
Dechert
From Aspen's The Investment Lawyer Magazine
October 13, 2011
Kilpatrick Townsend
September 20, 2011
Final Rules for the Private Fund Investment Advisers Registration Act of 2010
Schulte Roth & Zabel
August 8, 2011
O'Melveny & Myers
August 4, 2011
“The playing field remains wide open and the opportunities for inventing, re-inventing and accelerating legal reputation are perhaps unprecedented.”
What you need to know about the changes to the U.S. Investment Advisers Act after Dodd-Frank: How to become a U.S. registered adviser or confirm an available exemption
Deadline for Meeting the New Investment Adviser Regulatory Requirements Under the Dodd-Frank Act is Quickly Approaching
SEC Adopts Final Dodd-Frank Adviser Registration Rules: Many Asian Advisers Will Need to File Reports with the SEC
Summary and Analysis of Dodd-Frank Rules for Investment Advisers: Registration Requirements, Exemptions, Family Offices, Performance Fee Eligibility