News & Analysis as of

Filing Deadlines Registered Investment Advisors

Seward & Kissel LLP

FinCEN's New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related...

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January 1, 2024 is the effective date of a new rule (the “BOI Reporting Rule”) issued under the Corporate Transparency Act requiring domestic and foreign corporations, limited liability companies and other similar entities...more

Dorsey & Whitney LLP

Deadlines for 2024 IARD Renewal Program

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All SEC-registered investment advisers (“advisers”) are required to annually renew their state notice filings and state representative and branch registrations through the IARD Renewal Program. Preliminary renewal...more

Dorsey & Whitney LLP

RIA Regulatory Review - October 2023

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This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below. The SEC Adopts Significant New Rules for Private...more

Dorsey & Whitney LLP

Deadlines for 2023 IARD Renewal Program

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All SEC-registered investment advisers (“advisers”) are required to annually renew their state notice filings and state representative and branch registrations through the IARD Renewal Program. Preliminary renewal...more

Foley Hoag LLP

Important Dates and Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

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INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level, are required to review their compliance policies and...more

Foley & Lardner LLP

Reminder October 30 Filing Deadline to file 2019 Form BE-180 Electronically

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For investment advisers, managers/general partners of private funds, registered funds, private funds, and pension funds, among others, you have until October 30 to file Form BE-180, but you must do so electronically. (Yes,...more

White & Case LLP

Regulatory Update: Advisers Act Filing Relief

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Relief Related to the Investment Advisers Act of 1940 On March 25, 2020, the Securities and Exchange Commission ("SEC") extended the time period for filing relief for Form ADV and Form PF.  The Order extends the following...more

A&O Shearman

Updated: SEC Extends Temporary Exemptions From Form ADV And Form PF Filing And Delivery Requirements

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In an Order dated March 25, 2020, the Securities and Exchange Commission offered an exemption to investment advisers that are confronting COVID-19-related disruptions with respect to certain filing obligations. The Order...more

Akin Gump Strauss Hauer & Feld LLP

SEC Permits Late Filing of Form ADV (Subject to Conditions)

On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order that provides relief to registered investment advisers (RIA) and exempt reporting advisers (ERA) that are unable to meet the filing deadline dues...more

WilmerHale

SEC Extends Deadline for Form ADV and Form PF Filing for Advisers, Disclosure Relief for Registered Funds and Business Development...

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On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order (the Advisers Act Release) under the Investment Advisers Act of 1940 (Advisers Act) providing regulatory relief for investment advisers whose...more

Foley Hoag LLP

SEC to Provide Temporary Relief to Form ADV and PF Deadlines for Advisers Affected By COVID-19

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All federally registered investment advisers and exempt reporting advisers are advised that in response to the disruptions resulting from COVID-19, the SEC has provided relief to allow affected advisers to extend the due date...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

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The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Dechert LLP

SEC Provides Regulatory Relief to Entities Affected by Recent Hurricanes

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The U.S. Securities and Exchange Commission (SEC) on September 28, 2017 announced that the SEC and its staff are providing relief to aid regulatory compliance with certain provisions of the federal securities laws by certain...more

Foley Hoag LLP

Leap Year Means Earlier Due Date for Form ADV

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As a reminder, Form ADV for registered advisers (Parts 1 and 2A) and Exempt Reporting Advisers (relevant portions of Part 1) must be updated within 90 days after the end of their fiscal year. For advisers with a fiscal year...more

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