Continue Reading Presence Exams for Newly Registered Investment Advisers
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Investment Advisers
SEC Confirms Private Funds May Engage in General Solicitations for Regulation D Offerings
By Steve Quinlivan on
CFTC Approves Regulations to Phase in Clearing Requirements
By Steve Quinlivan on
Minnesota to Examine Investment Advisers
By Steve Quinlivan on
SEC Issues FAQs on Form PF
By Steve Quinlivan on
SEC Publishes Statistics on Changes to Investment Adviser Registration as a Result of the Dodd-Frank Act
By Steve Quinlivan on
SEC Extends Compliance Date for Ban on Third Party Solicitations by Investment Advisers
By Steve Quinlivan on
Test Filing of Electronic Form PF is Now Available for Hedge Funds and Private Equity Advisers
By Steve Quinlivan on
Advertising by Hedge Funds and Private Equity Groups After the JOBS Act
By Jill Radloff on
SEC to Examine Significant Percentage of New Hedge Fund Registrants
By Steve Quinlivan on