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New Rules for Investment Advisers: Do You Qualify for the Venture Capital Fund Registration Exemption? thumbnail

New Rules for Investment Advisers: Do You Qualify for the Venture Capital Fund Registration Exemption?

As we mentioned in a blog post last week, the SEC
 introduced a new exemption from registration under the Investment Advisers Act for advisers
 that manage only...

New Rules for Investment Advisers: Requirements for Exempt Reporting Advisers thumbnail

New Rules for Investment Advisers: Requirements for Exempt Reporting Advisers

Under the new requirements issued by Securities and Exchange Commission, certain investment advisers may fall under the category of “exempt reporting adviser.” This designation includes advisers to...

Client Alert: Preliminary Renewal Statements Due December 12

Your firm's Preliminary Renewal Statements are available online on FINRA’s Web CRD/IARD.  They include a list of renewal fees, including processing fees; branch office fees; exchange maintenance...

New Rules for Investment Advisers: Are You Prepared to Comply With the Amended Form ADV? thumbnail

New Rules for Investment Advisers: Are You Prepared to Comply With the Amended Form ADV?

In addition to expanding the number of investment advisers who must file a Form ADV, the SEC also adopted a number of amendments to the form itself....

New Rules for Investment Advisers: Are You Ready to File the New Form ADV? thumbnail

New Rules for Investment Advisers: Are You Ready to File the New Form ADV?

Many advisers will be registering with the Securities and Exchange Commission for the first time in the coming months. Therefore, it is important to fully understand your...

New Rules for Investment Advisers: Are You Exempt from Registration? thumbnail

New Rules for Investment Advisers: Are You Exempt from Registration?

For many years, advisers to private funds have been able to avoid registering with the Securities and Exchange Commission because of an exemption that applies to advisers...

New Rules for Hedge and Private Equity Funds: Are You Prepared? thumbnail

New Rules for Hedge and Private Equity Funds: Are You Prepared?

This summer, the Securities and Exchange Commission adopted new rules that require advisers to hedge funds and private equity funds to register with the SEC. For many...

Client Alert: Performance Fees Standard Heightened

New Qualified Client Standards Take Effect on September 19 The Investment Advisers Act of 1940 allows an investment adviser to charge a client performance fees only if...

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