Investment Advisers

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Presence Exams for Newly Registered Investment Advisers

By David Jenson on 10/09/2012

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SEC Confirms Private Funds May Engage in General Solicitations for Regulation D Offerings

By Steve Quinlivan on 08/31/2012

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CFTC Approves Regulations to Phase in Clearing Requirements

By Steve Quinlivan on 07/24/2012

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Minnesota to Examine Investment Advisers

By Steve Quinlivan on 07/06/2012

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SEC Issues FAQs on Form PF

By Steve Quinlivan on 06/20/2012

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SEC Publishes Statistics on Changes to Investment Adviser Registration as a Result of the Dodd-Frank Act

By Steve Quinlivan on 06/12/2012

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SEC Extends Compliance Date for Ban on Third Party Solicitations by Investment Advisers

By Steve Quinlivan on 06/08/2012

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Test Filing of Electronic Form PF is Now Available for Hedge Funds and Private Equity Advisers

By Steve Quinlivan on 05/24/2012

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Advertising by Hedge Funds and Private Equity Groups After the JOBS Act

By Jill Radloff on 05/21/2012

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SEC to Examine Significant Percentage of New Hedge Fund Registrants

By Steve Quinlivan on 05/15/2012

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