Investment Adviser

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2 headnotes for Investment Adviser

More than 10.000 documents for Investment Adviser

- Investment Adviser Performance Compensation
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to ``qualified clients.'' The amendments revise the dollar amount thresholds of the rule's tests that are used to determine whether an individual or company is a qualified client. These rule amendments codify revisions that the Commission recently issued by order that adjust the dollar amount thresholds to account for the effects of inflation. In addition, the rule amendments: provide that the Commission will issue an order every five years in the future adjusting the dollar amount thresholds for inflation; exclude the value of a person's primary residence and certain asso...
- Federal Register Nbr. 77 FR 10358, February 22, 2012
- Rules and Regulations
- Securities and Exchange Commission
- 12 CFR 225.125 - Investment adviser activities.
- Code of Federal Regulations - Title 12: Banks and Banking
- Financial Reform Bill Reshapes Investment Adviser Regulation
The Private Fund Investment Advisers Registration Act of 2010 (the Act), signed into law on July 21, markedly changes who will be required, and who wi...
- Mondaq Business Briefing
- United States Law Articles in English

- SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration And Exemption Requirements.
The Securities and Exchange Commission ("SEC") recently issued final rules and rule amendments implementing certain provisions of Title IV of the Dodd...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Investment Adviser Registration for Private Equity Fund Managers.
The Dodd-Frank Act will require private equity fund managers (who were previously exempt from registration) to register as investment advisers with st...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Investment Adviser Use of Social Media.
In late 2010, the Securities and Exchange Commission (the SEC or the Commission) sent a "sweep" letter (the Sweep Letter) to a number of registered in...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- A Comparison Of Investment Adviser Reporting Forms.
Law360, New York (January 10, 2012, 1:05 PM ET) -- On Oct. 26, 2011, the U.S. Securities and Exchange Commission adopted Form PF, the form to be used ...
- Mondaq Business Briefing
- Nbr. 2012, January 2012
- SEC Adopts Final Rules Regarding Investment Adviser Registration And Amends Form ADV.
The Securities and Exchange Commission ("SEC") on June 22, 2011 adopted new rules and rule and form amendments under the Investment Advisers Act of 19...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- SEC Staff Delivers Study on Enhancing Investment Adviser Examinations to Congress.
SEC Staff Delivers Study on Enhancing Investment Adviser Examinations to Congress On January 19, 2011, the SEC staff delivered to Congress its Study...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Financial Reform Bill Reshapes Investment Adviser Regulation.
The Private Fund Investment Advisers Registration Act of 2010 (the Act), signed into law on July 21, markedly changes who will be required, and who wi...
- Mondaq Business Briefing
- Nbr. 2010, January 2010