We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

SEC's Heightened Adviser Registration Requirements

Law360 (December 23, 2010, 12:28 PM EST) -- On Nov. 19, 2010, the U.S. Securities and Exchange Commission proposed new rules and amendments implementing certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as it relates to investment adviser registration. Specifically, the new rules 1) clarify eligibility for registration with the SEC; 2) clarify the scope of new exemptions from registration with the SEC for certain advisers; 3) establish reporting requirements for certain advisers exempt from registration with the SEC; and 4) require greater disclosure by registered investment advisers...
To view the full article, register now.
Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.