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

Hedge funds and private equity advisers with more than $150 million in assets under management that have registered with the SEC as investment advisers will have to begin filing Form PF with the SEC as required by the Dodd-Frank Act.  Form PF will be filed electronically through the PFRD system, which is a subsystem of the IARD system. Both systems are managed by FINRA.  The PFRD system is now available on a limited basis for user testing purposes. The system will become available for production on or about June 1, 2012. 

Check dodd-frank.com frequently for updated information on the JOBS Act, the Dodd-Frank Act and other important securities law matters.

Leave a Reply

Your email address will not be published.