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Searching Content indexed under Dodd-Frank, Consumer Protection Act by Jeffrey Collins ordered by Published Date Descending.
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Massachusetts Secretary Of State Adopts New Regulations For Investment Advisers In Response To Dodd-Frank Act
The Massachusetts Securities Division has amended proposed rules relating to the regulation of investment advisers.
United States
6 Feb 2012
2
Deadlines Loom For Advisers Required To Register Under Dodd-Frank Or Become An Exempt Reporting Adviser
Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), regarding the registration with the Securities and Exchange Commission (the "SEC") of advisers to unregistered funds.
United States
25 Jan 2012
3
Massachusetts Secretary Of State Proposes Amended New Regulations For Investment Advisers In Response To Dodd-Frank Act
The Massachusetts Securities Division has amended proposed rules relating to the regulation of investment advisers.
United States
18 Jan 2012
4
SEC Issues Final Rule On Net Worth Standard For Accredited Investors
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") set forth, among other regulatory changes, a revised net worth test for a natural person to qualify as an "accredited investor" for purposes of Regulation D under the Securities Act of 1933, as amended (the primary private placement exemption relied on by investment advisers managing private investment funds).
United States
9 Jan 2012
5
Connecticut Banking Commissioner Issues Orders Relating To Investment Adviser State Registration In Response To The Dodd-Frank Act For Investment Advisers Transacting Business In Connecticut
As previously discussed in a Foley Adviser dated June 22, 2011, the Securities and Exchange Commission (the "SEC") issued final rule releases relating to the implementation and interpretation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
25 Jul 2011
6
Massachusetts Secretary Of State Proposes New Regulations For Investment Advisers In Response To Dodd-Frank Act
The Massachusetts Securities Division, under the direction of Secretary Galvin, has proposed new regulations relating to the regulation of investment advisers, including hedge fund managers.
United States
27 Apr 2011
7
Secretary Galvin Proposes Expert Network Regulations For Massachusetts Advisers
Secretary of the Commonwealth William Francis Galvin has proposed regulations to add conditions to the use of "matching or expert network services" by investment advisers which are registered in Massachusetts or operating in Massachusetts within an exemption from registration.
United States
27 Apr 2011
8
SEC Contemplates Extending Registration Deadlines For Investment Advisers
In a letter dated April 8, 2011 to the President of the North American Securities Administrators Association, Inc., Robert E. Plaze, Associate Director of the Securities and Exchange Commission ("SEC"), indicated that the SEC will consider extending the deadlines by which certain advisers must register with the SEC, or switch from SEC to state registration, under the new provisions of the Dodd-Frank Wall Street Reform and Consumer Protect Act (the "Dodd-Frank Act").
United States
15 Apr 2011
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