Investment Advisers

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Hedge Funds and Private Equity Groups on SEC Examination Priority List

By Jill Radloff on 02/23/2013

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New FAQs on Broker-Dealer Registration Exemption

By David Jenson on 02/07/2013

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SEC Enforcement Official Hints at Increased Actions Against Private Equity

By Steve Quinlivan on 01/23/2013

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SEC Official Describes Enforcement Priorities for Hedge Funds

By Jill Radloff on 12/26/2012

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CFTC Grants Relief to Family Offices From Commodity Pool Operator Rules

By Steve Quinlivan on 11/30/2012

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SEC Sanctions Two Investment Advisers for Impeding Examinations

By Steve Quinlivan on 11/20/2012

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SEC Files Record Number of Enforcement Actions Against Investment Advisers

By Jill Radloff on 11/16/2012

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More Comments on the General Solicitation and Advertising Rule

By David Jenson on 10/24/2012

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More Than 1,500 Private Fund Advisers Registered With the SEC Since Dodd-Frank

By Steve Quinlivan on 10/21/2012

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SEC Gives Notice of Intent to Cancel Numerous Investment Adviser Registrations

By Jill Radloff on 10/20/2012

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