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02 Jul 2012
Form PF Frequently Asked Questions Posted By The SEC Staff
AUTHORS CONTENT
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29 Jun 2012
Proposed Legislation for Business Development Companies H.R. 5929: A Capital Increase for Business Development Companies
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25 Jun 2012
Pay-To-Play: SEC Extends Compliance Deadline For Provisions Of Advisers Act Rule 206(4)-5 Limiting Payments To Third-Parties
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04 Apr 2012
Exempt Reporting Adviser Q&A
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16 Dec 2011
Court Challenges SEC’s Policy Of Allowing Settling Parties To "Neither Admit Nor Deny" Agency Allegations
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14 Dec 2011
SEC And CFTC Adopt Private Fund Systemic Risk Reporting On Form PF
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12 Oct 2011
SEC Adopts Large Trader Reporting Requirements
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14 Jul 2011
SEC Adopts Final Rules Regarding Investment Adviser Registration And Amends Form ADV
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28 Jun 2011
SEC Adopts Final Dodd-Frank Amendment Rules Regarding Registration of Investment Advisers
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11 May 2011
Pay-To-Play: SEC Staff Provides New Guidance On Advisers Act Rule 206(4)-5
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09 May 2011
Temporary Rule Regarding Principal Trades With Certain Advisory Clients And Proposed Interpretive Rule Under The Advisers Act Affecting Broker-Dealers
Article
15 Dec 2010
SEC Proposes New Investment Adviser Oversight Rules
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20 Sep 2010
New Registration Requirement in Dodd-Frank Legislation May Affect Advisors to State and Local Governments as Well as Persons Who Solicit Public Pension Funds
Article
07 Sep 2010
A New Part 2: Amendments to Form ADV Bring Significant Changes to Investment Adviser Registration and Disclosure Requirements (Part 1)
Article
07 Sep 2010
A New Part 2: Amendments to Form ADV Bring Significant Changes to Investment Adviser Registration and Disclosure Requirements (Part 2)
Article
28 Jul 2010
The Impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act on the Registration Obligations of Private Fund Advisers