SEC Adopts Final Rules Implementing Dodd-Frank Investment Adviser Registration Amendments and Extends Compliance Deadline for Registration Until March 30, 2012

White & Case LLP
Contact

At an open meeting yesterday the US Securities and Exchange Commission (“SEC”) voted to adopt new rules that will: establish the new Dodd-Frank Act exemptions from registration for venture capital fund advisers, foreign private advisers and private fund advisers with less than US $150 million in assets in the United States; implement the Dodd-Frank Act adviser registration exemptions and reallocate regulatory responsibility for mid-sized investment advisers; amend Form ADV disclosure requirements for registered investment advisers; impose new reporting requirements for “exempt reporting advisers”; and define “family offices” for purposes of the exclusion from the definition of investment adviser.

Please see full alert below for more information.

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

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.

© White & Case LLP | Attorney Advertising

Written by:

White & Case LLP
Contact
more
less

White & Case LLP on:

Reporters on Deadline

"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:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
Custom Email Digest
- hide
- hide

This website uses cookies to improve user experience, track anonymous site usage, store authorization tokens and permit sharing on social media networks. By continuing to browse this website you accept the use of cookies. Click here to read more about how we use cookies.