What exactly does being exempt from Investment Adviser registration under Dodd-Frank mean?

more+
less-
more+
less-

It is widely known that under the Dodd-Frank Act passed last year, private fund managers with assets under management of $150 million or more will be required to register as investment advisers with the SEC. It's also widely known that Congress exempted venture capital funds from this requirement. So does this mean that if you are the manager of a small hedge fund or that if you run a venture capital fund, you won't need to deal with the SEC? Unfortunately, no. In recent rule-making, the SEC has required exempt private fund managers to file many of the same forms as those of registered advisers.

LOADING PDF: If there are any problems, click here to download the file.

Written by:

Published In:

SEC

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.

© Riggs Davie PLC | Attorney Advertising

Don't miss a thing! Build a custom news brief:

Read fresh new writing on compliance, cybersecurity, Dodd-Frank, whistleblowers, social media, hiring & firing, patent reform, the NLRB, Obamacare, the SEC…

…or whatever matters the most to you. Follow authors, firms, and topics on JD Supra.

Create your news brief now - it's free and easy »

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×
Loading...
×