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Krus & Michael Koffler
In response to the Congressional directives contained in
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the
"Dodd Frank Act"), the U.S. Securities and Exchange Commission ("SEC" or
"Commission") adopted new rules and rule amendments under the Investment
Advisers Act of 1940, as amended (the "Advisers Act"), which:
In addition, the Commission amended rules and Form ADV to
expand the disclosure provided by registered investment advisers and to require
certain items of Form ADV to be completed and reported by exempt reporting
advisers. Also, the Commission revised its pay-to-play rule to allow advisers
to pay compensation to solicitors who are registered as broker-dealers,
investment advisers or municipal advisors if certain conditions are satisfied.
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