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Threshold Requirements Securities and Exchange Commission (SEC) Asset Management

Proskauer - Regulatory & Compliance

Raising the Bar: SEC Evaluating an Increase in Minimum AUM Threshold for Investment Adviser Registration

On April 8, 2025, Acting SEC Chairman Mark T. Uyeda gave a speech signaling that the SEC may revisit the current minimum assets under management (“AUM”) threshold for federal registration, potentially reducing the number of...more

Mayer Brown Free Writings + Perspectives

The SEC Adjusts the “Qualified Client” Tests for Inflation

Effective August 16, 2021, the Securities and Exchange Commission will apply new threshold amounts with respect to the definition of “qualified clients,” raising the starting dollar amounts of the assets-under-management and...more

K&L Gates LLP

SEC Proposes Amendments to Form 13F, Proposes Increasing 13F Reporting Threshold

K&L Gates LLP on

On 10 July 2020, the Securities and Exchange Commission (SEC) proposed amending Form 13F and Rule 13f-1 to raise the reporting threshold at which institutional investment managers are required to complete and file Form 13F...more

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