Finding A Way.

Are You Prepared? Compliance Failures Can Lead to SEC Enforcement Actions for Newly Registered Advisers

Under the new rules for investment advisers, advisers to private equity groups and hedge funds will be subject to the same registration requirements, regulatory oversight, and record...

New Requirements for Advisers to Private Funds: SEC Form PF

Advisers to private funds will have a host of new reporting requirements in the near future. As previously detailed on this blog, the SEC adopted amendments to...

New Rules for Investment Advisers: Is Your Family Office Required to Register Under the New Rules?

As we mentioned in previous blog post, the Dodd-Frank Act repealed the private adviser exemption and replaced it with several new exemptions from registration under the Investment...

New Rules for Investment Advisers: Have You Properly Calculated Your Assets Under Management?

Under the new rules for investment advisers, one of the most important factors to take into consideration when determining whether a registered investment advisor should be registered...

New Rules for Investment Advisers: Do You Qualify for the Foreign Private Adviser Registration Exemption?

As we mentioned previously, the SEC has crafted a new set of rules for foreign private advisers. Advisers relying on this new exemption are not subject to...

New Rules for Investment Advisers: Does Your Venture Capital Fund Qualify Under the Grandfather Provision?

The new rules for investment advisers carve out an exception for pre-existing venture capital funds under a grandfather provision. Specifically, funds that meet the grandfathering criteria are...

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

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?

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....

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