Hedge Fund Resource
Traders Living Large: Identify Yourselves!
SEC Adopts Final Rules to Implement Investment Advisers Provisions of the Dodd-Frank Act
SEC Raises The Bar For Investment Advisers That Charge Performance Fees
Proposed Rules Would Expand Investment Adviser Reporting Under the Dodd-Frank Act
FINRA’S New Anti-Spinning Rule Adds to Investment Managers’ IPO Compliance Requirements
Form 13F Filers Face Proxy Voting Disclosures
Revised Model Privacy Forms under the Gramm-Leach-Bliley Act
Expanding Investment Adviser Registration and Regulation Under the Dodd-Frank Act
Part 2 of Form ADV (Revisited) - The SEC’s Ten Year Itch
Madoff with the Custody Rule: The SEC’S Continuing Reaction to Ponzi Proliferation
FinCEN Withdraws Proposed Anti-Money Laundering Regulations for Investment Advisers and Others
Waiver of Fees Continues for IARD Filings
Short Sale Reporting is No Longer Short Term
Bailout Bill to End Use of Tax Deferred Compensation Programs by Offshore Fund Managers
Board Guidance/Adviser Compliance: The SEC Proposes Oversight of Investment Adviser Practices
Form D Process to be Streamlined
The OCIE’s Top 10 Compliance Issues
SEC Lightens Touch on the Investment Adviser Custody Rule
The New Hedge Fund Adviser Anti-Fraud Rule
Model Privacy Forms Under The Gramm-Leach-Bliley Act
The Pension Protection Act of 2006
SEC Takes a Tough Stance on the Hedge Fund Exception to the Investment Adviser Custody Rule
Rebalancing and Other Cross Transactions
More About Account Statements Under The SEC’s New Custody Rule
Many Hedge Funds May Now Invest in Futures Without CPO or CTA Registration
SEC Final Rules Mandate Policies to Prevent Securities Violations
Modernized Custody Rule Adopted: Compliance Relief for Hedge Fund Managers
Electronic Recordkeeping by Investment Companies and Investment Advisers
Customer Identification Regulations for Mutual Funds
SEC Regulation Mandates Analyst Certification
SEC Adopts Rules Mandating Proxy Voting Disclosures by Investment Advisors
USA Patriot Act Anti-Money Laundering Programs
Final Privacy Rules are Adopted for Investment Advisers
News of Note to Investment Managers
Part 1 of New Form ADV Adopted: Electronic Filing to Become Mandatory
New Form ADV Proposed: Electronic Filing to Become Mandatory
SEC’s Recent Communications on “Best Execution”
SEC Adopts Final Rules for Privately Offered Funds
Announcements of Interest to Hedge Fund Managers
Non-Competition Restrictions Upheld on Investment Adviser
Electronic Filing Mandated for Form 13F
SEC Adopts New Rules to Reduce Multi-State Investment Adviser Registration Obligations
SEC Principal and Agency Transactions Rule Re-Interpreted - DoL May Authorize Cross Trades
NASAA Proposes Competency Examination for Investment Adviser Representatives
AICPA Changes the Accounting Treatment of Start-Up Costs for Hedge Funds
SEC Amends Rule Allowing Investment Adviser to Charge Performance Fees
State RIAs/Passive Investors Benefit From Expanded Availability of Schedule 13-G; Rule 16a-1 Amended
SEC Adopts Form ADV-T and Final Rules to Implement Investment Advisers Supervision Coordination Act
SEC Adopts Safe Harbor For Discretionary Investment Advisory Programs
National Securities Markets Improvement Act of 1996
SEC Issues Rule Requiring All Registered Investment Advisers To Adopt Codes Of Ethics