investment advisers act of 1940

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4.943 documents for investment advisers act of 1940

- SEC Adopts Rule Defining 'Family Offices' Under The Investment Advisers Act Of 1940
Background On June 22, 2011, the Securities and Exchange Commission ("SEC") approved a new rule to define "family offices" that are to be excluded ...
- Mondaq Business Briefing
- United States Law Articles in English
- Changes in Registration and Reporting Requirements for Private Funds under the Investment Advisers Act of 1940 in the Dodd-Frank Act.
On July 15, 2010, the United States Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). President Ob...
- Mondaq Business Briefing
- Nbr. 2010, January 2010
- Investment Advisers Act of 1940: Franklin Portfolio Associates, LLC, et al.,
- FR, October 10, 2007
- Notices
- Securities and Exchange Commission

- A Compliance Guide to the Investment Advisers Act of 1940
Part III: The Registered Investment Adviser's Relationship with Its Clients This article is the third in a series I have designed to give guidance to managers of hedge funds for complying with regulations proposed by the Securities and Exchange Commission. If the proposed regulations are adopted, they will require the managers and advisers to most hedge funds to register as investment advisers with the SEC. Registration will subject the advisers to the compliance standards set forth under the Investment Advisers Act of 1940. This series provides a description of the proposed regulations and registration requirements and addresses the key aspects of Advisers Act compliance. Use of defined terms, statutory references, while at times unavoidable, will be kept to a minimum.
- Daily News; White Plains
- January 13, 2005
- Investment Advisers Act of 1940: IronBridge Capital Management LP et al.,
- FR, October 10, 2007
- Notices
- Securities and Exchange Commission
- 17 CFR 275.204-2 - Books and records to be maintained by investment advisers.
... AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940. 275.204 - 2 - Books and records to be maintained ...
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- SEC Finalizes Dodd-Frank Rules Affecting Investment Advisers: The SEC Adopted a Rule To Define 'Family Offices' That Will Be Excluded From the Definition of an Investment Adviser Under the Investment Advisers Act of 1940 (the 'Advisers Act')
Publication Date: July 25, 2011 What is new with family offices? The Dodd-Frank Act creates a new exclusion from the Advisers Act in Section 202...
- Mondaq Business Briefing
- United States Law Articles in English
- Rules Implementing Amendments To The Investment Advisers Act Of 1940
On June 22, 2011, to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act") that apply t...
- Mondaq Business Briefing
- United States Law Articles in English
- Changes in Registration and Reporting Requirements for Private Funds under the Investment Advisers Act of 1940 in the Dodd-Frank Act
On July 15, 2010, the United States Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). President Ob...
- Mondaq Business Briefing
- United States Law Articles in English
- In the Matter of Gravity Capital Partners, LLC, 6400 S. Fiddlers Green Circle, Suite 1900, Greenwood Village, CO 80111; Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
- Federal Register Nbr. 77 FR 7620, February 13, 2012
- Notices
- Securities and Exchange Commission