Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

The SEC has issued a small entity compliance guide entitled “Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF.”  The guide may be of some use to advisers to smaller hedge funds and private equity groups in determining whether and how often they need to file Form PF which was adopted as a result of the Dodd-Frank Act.  Form PF must be filed by SEC-registered investment advisers with at least $150 million in private fund assets under management.  The guide does not however address any complexities associated with a Form PF filing if one needs to be made.

Check frequently for updates on the Dodd-Frank Act and other important securities law matters.

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