Banking and Finance

Recent Posts

Massachusetts Is Looking to Dodd-Frank Investment Advisers and Fund Managers
Posted on 3 May 2011 by Doug Cornelius

Just to keep you on your toes if you have less than $150 million under management, states are now filling in the gaps left by Dodd-Frank. If you are under that threshold, you lose the ability to register with SEC and now have to look to at being regulated... Read More

Deciphering the SEC’s New Definition of a “Venture Capital Fund”: Part 1 – An Overview
Posted on 30 Sep 2011 by Alexander Davie

This is the first post in a series exploring the recent SEC regulations which define the term "venture capital fund" for the purposes of determining whether a fund's manager is exempt from SEC registration requirements under Dodd-Frank... Read More

SEC to Revise Investment Adviser Rules under the Dodd-Frank Act?
Posted on 10 Jun 2011 by Asher Bearman

The SEC announced yesterday that it will be holding an open meeting on June 22, 2011, evidently to discuss new proposed changes to the new Advisers Act rules pending under Dodd Frank. For fund managers concerned about becoming subjected to Advisers... Read More