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Bruce Alpert
Dodd-Frank Wall Street Reform & Consumer Protection Act
Dodd-Frank Wall Street Reform and Consumer Protection Act
Fabrice Tourre
family office rule
Form ADV
Gabelli Funds LLC
hedge funds
investment advisors
investment company
K&L Gates
Litigation
Morrison v. Nat'l Austl. Bank
private equity fund managers
private equity funds
registration requirement
SEC
sec enforcement
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Securities Exchange Act of 1934
securities fraud
securities litigation
U.S. Supreme Court
venture capital fund exemption
Thomas O. Gorman
over 7 years ago
Securities
News Headlines
Sixth Circuit Concludes Morrison Does Not Apply to Advisers Act
In Morrison v. National Australia Bank, Ltd., 561 U.S. 247 (2010) the Supreme Court held that the reach of Exchange Act Section 10(b) is the water’s edge of the United States [subscribers can access an enhanced version of this opinion: lexis.com...
Michael J. Lello
over 10 years ago
Litigation
Litigation Blog
High Court Says Discovery Rule Doesn't Apply To Securities And Exchange Commission
WASHINGTON, D.C. -- (Mealey's) The U.S. Supreme Court on Feb. 27 reversed a Second Circuit U.S. Court of Appeals ruling allowing the Securities and Exchange Commission to seek securities fraud penalties for conduct that had ceased more than five years...
Alexander Davie
over 7 years ago
Banking and Finance
Venture Capital Blog
Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rules
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...
Asher Bearman
over 11 years ago
Banking and Finance
Venture Capital Blog
Reporting Requirements for Funds Exempted from Investment Advisers Act Registration
As a result of the new rules under the Investment Advisers Act of 1940, even fund managers that are exempt from registration will need to file annual reports with the SEC. Exempt reporting advisers (" Exempted Advisers "), including fund...
Asher Bearman
over 9 years ago
Banking and Finance
Venture Capital Blog
"Venture Capital Fund" Flowchart for Exemption Under the Investment Advisers Act of 1940
This article is appearing simultaneously on The Venture Alley and on Startup Law Blog . The below flowchart may be helpful to you in answering the question whether you qualify for the exemption for "venture capital funds" under Section...
K & L Gates LLP
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
SEC Proposes Amendments to the Qualified Client Standard
by Kay Gordon and Joshua M. O'Melia Excerpt: I. Introduction On May 10, 2011, as required by Section 418 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the U.S. Securities and Exchange Commission...
Doug Cornelius
over 12 years ago
Banking and Finance
Banking & Finance Law Blog
Fees and Performance Results for Advisers and Fund Managers
Section 206 of the Investment Advisers Act prohibits fraud, deception or manipulation, regardless of whether the fund manager is registered. Once registered, Rule 206(4)-1 imposes additional restrictions on advertising that the SEC has determined...
Doug Cornelius
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
What is the SEC Looking For With Private Fund Managers
IA Watch published a few recent document request letters in connection with SEC examinations of investment advisers. One is a document request letter sent to a private fund manager ( subscription required; 7-day free trial available ). These are...
Doug Cornelius
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
Massachusetts Revises Proposed Private Fund Adviser Exemption
From my discussions, many real estate fund managers are still not sure if they are subject to registration under the Investment Advisers Act. The definition of "private fund" can exclude many real estate funds depending on the structure of...
Doug Cornelius
over 12 years ago
Banking and Finance
Banking & Finance Law Blog
Is It an Advertisement?
Section 206 of the Investment Advisers Act prohibits fraud, deception or manipulation, regardless of whether the fund manager is registered. Once registered, Rule 206(4)-1 imposes additional restrictions on advertising that the SEC has determined...
Sutherland Asbill & Brennan LLP
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
SEC Revamps Investment Adviser Regulatory Scheme as Mandated by the Dodd-Frank Act July 22, 2011
by Cynthia Krus & Michael Koffler I. Introduction 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...
Doug Cornelius
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
Soros Doesn’t Want Your Money
In one of the most visible moves as a result of the new SEC regulations on investment advisers, George Soros is closing his $25 billion Quantum Endowment Fund to outside investors and returning their money. Why? "We have relied until now...
Doug Cornelius
over 12 years ago
Banking and Finance
Banking & Finance Law Blog
Intent and the Advertising Rule for Investment Advisers
In its prohibition against fraud, deceit and manipulation, Section 206 of the Investment Advisers Act is strict. There is no requirement of intent. You can argue that you didn't mean to mean to commit fraud. That may affect whether you get referred...
K & L Gates LLP
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
Amending the Reporting Requirements of Form ADV & Modifying Pay to Play Rule
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...
Doug Cornelius
over 11 years ago
Banking and Finance
Banking & Finance Law Blog
Sometimes You Get Stuck and Can’t Get Out
Finally, the SEC is going to take some action today on the regulation of investment advisers, venture capital funds, and private fund managers. For years, they've been trying to get regulatory control of private funds. Now they are going to...
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