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
2/2/2024
/ Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Exemptions ,
Filing Deadlines ,
Filing Requirements ,
Investment Adviser ,
Investment Companies ,
Investment Management ,
Reporting Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the “de minimis exemption,” must...more
The Massachusetts Securities Division ("the Division") is currently sending letters to exempt reporting advisers in Massachusetts ("MA ERAs") who manage private funds which rely on the exclusion from the definition of...more