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On June 15, 2012, the Maryland Securities Commissioner issued an order adopting the NASAA model rule exemption for investment advisers to private funds . Like the model rule, the new order issued by the Maryland Securities Commissioner , provides for...

Important news out of the SEC this week for investment advisers who are now registering or filing reports as exempt reporting advisers (ERAs) courtesy of the new Dodd-Frank requirements. The SEC posted a new FAQs on its website regarding Form ADV...

On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information about separately...

Dodd-Frank set a July 21 deadline for changes to the Investment Advisers Act in Title IV: The Private Fund Investment Advisers Registration Act . This included the expiration of the private adviser exemption from registration under the Investment...

With a registration deadline of March 30, 2012 and a 45 day period for the SEC to review the application , private fund managers need to file their Form ADV by February 14. I know that there are fund managers still on the fence on whether to register...

by Marc Mehrespand and Joshua O'Melia Various companion releases implementing various provisions of the Dodd-Frank Act. Form ADV amendments, Rule 206(4)-5, and registration requirements for private funds. Excerpt: In much anticipated companion...

When filling out Form ADV, Schedule A and Schedule B require you to disclose control persons, owners, and significant indirect owners of the investment adviser. The instructions call for the full legal name: Last name, first name, and middle name....

With the impending deadline for filing Form ADV to register as an investment adviser, you need to jump through some hoops before you can do the filing. First step is visiting the Investment Adviser Registration Depository . Form ADV needs to be filed...

With hundreds (thousands?) of private fund managers set to register with the Securities and Exchange Commission next quarter, the new form ADV is on the IARD system and ready for you to start uploading information. I noticed the first problem. ...

In October 2010, the Securities and Exchange Commission created a new Part 2 for Form ADV. Instead of filling in blanks, investment advisers need to create a brochure for delivery to clients and prospective clients. For fund managers getting ready...

New Fund Manager Registration Requirement - under the Dodd-Frank Act, the previous exemption from registration for fund managers was eliminated. This generally means that hedge fund and private equity fund managers will be required to register as investment...