Exempt Reporting Entities

Advisers to larger private funds may be taken aback when they glimpse the range of data being sought by the SEC to aid the Financial ...

This is what you've been waiting for - how financial regulatory reform would affect investment advisers. The SEC has released the two proposed rules directly ...

The Dodd-Frank law exempts three types of advisers from registration under the Advisers Act - venture capital funds, private funds with under $150 million in ...

SEC commissioners took a major step Friday toward satisfying recent congressional reforms by approving two proposed rules that would have far-reaching implications for RIAs as ...