News & Analysis as of

Investment Management › Investment Adviser › Registration

Stinson - Corporate & Securities Law Blog

SEC Updates Form ADV

Stinson - Corporate & Securities Law Blog on

The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. The final rules: - require information about an investment adviser’s separately managed...more

Broker-Dealer Compliance + Regulation

Division of Investment Management Closes Loophole for Fund Advisers Providing Interim Services “At Cost”

Broker-Dealer Compliance + Regulation on

The SEC’s Division of Investment Management has closed a potential loophole in the federal securities laws through which some fund advisers may have attempted to squeeze to avoid registration....more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide