Slowly but surely times are changing. As part of the regulatory upswing under the Dodd-Frank Wall Street Reform and Consumer Protection Act, advisers to certain private funds will have to register with and report to the SEC. This means that certain private equity, hedge, and venture capital fund advisers who could have once escaped SEC registration will no longer be so lucky. Although there are still exemptions built into the Dodd-Frank provisions, they are much more restrictive, in terms of who can use them. With the SEC set to announce new rules concerning registration and reporting, it’s time to brush up on the basics and look to the future. As is often the case, time and regulatory law-making waits for no man or woman or, in this case, adviser.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.
Business Organization Updates, Securities Law Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
© Hafelein | White, LLC | Attorney Advertising