State Investment Adviser Registration Requirements for Private Fund Managers Part 6: The Northeast

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Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article surveys the regulations in the 12 states located in the Northeastern United States dealing with investment adviser registration of managers of hedge funds, private equity funds, venture capital funds, and other private investment vehicles. States covered are: Connecticut, Delaware, the District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, and Vermont.

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Published In: Finance & Banking Updates, Securities 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.

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