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IA Registration:Exemptions (37)
Your search for IA Registration:Exemptions returned 37 results.
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12/08/2016 | Content area: Investment Adviser
CenturyLink does not hold itself out to the public as an investment adviser, provides investment advice only to the Plans and the Foundation, and wil...
1/26/2015 | Content area: Investment Adviser
    Investment Advisers Act of 1940 - Section 202(a)(11)(D) Jonathon Hendricks January 26, 2015 Response of the ...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Form ADV. To apply for registration with the Commission as an investment adviser, you must complete Form ADV by following the instructions in the...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Eligibility for SEC registration of mid-sized investment advisers. If you are an investment adviser described in section 203A(a)(2)(B) of ...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The prohibition of section 203A(a) of the Act (15 U.S.C. 80b-3a(a)) does not apply to: (a) Pension consultants. (1) An investment adviser that is a ...
10/02/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Client. You may deem the following to be a single client for purposes of section 202(a)(30) of the Act (15 U.S.C. 80b-2(a)(30)): (1) A natural pe...
10/02/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Venture capital fund defined. For purposes of section 203(l) of the Act (15. U.S.C. 80b-3(l)), a venture capital fund is any entity described in s...
10/02/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 203 -- Registration of Investment AdvisersNecessity of registration. Except as provided in subsection (b) a...
10/24/2012 | Content area: Investment Adviser
      Investment Advisers Act of 1940 — Section 203(a) TACT Asset Management Inc. October 24, 2012 RESPONSE OF THE ...
5/25/2012 | Content area: Investment Adviser
      Investment Advisers Act of 1940 — Section 203(a) Allianz of America, Inc. May 25, 2012 RESPONSE OF THE OFFICE...
3/14/2012 | Content area: Investment Adviser
      Investment Advisers Act of 1940 — Section 203(a) Industrial Alliance, Investment Management Inc. March 14, 2012 ...
6/30/2011 | Content area: Investment Adviser
4/04/2011 | Content area: Private Fund
Dodd-Frank made pretty clear that advisers to private funds with more than $150 million in AUM must register as investment advisers. New federal rules...
1/01/2007 | Content area: Broker-Dealer
8/07/2006 | Content area: Investment Adviser
6/06/2006 | Content area: Investment Adviser
SCP Private Equity Partners II, L.P.: No-Action letter dated June 6, 2006 Investment Company Act of 1940 - Section 2(a)(51)(A)(iii) SCP Priv...
12/16/2005 | Content area: Investment Adviser
No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1 Secur...
11/17/2005 | Content area: Investment Adviser
No-Action Letter Under Investment Advisers Act of 1940 - Rule 202(a)(11)-1 Morgan, Lewis & Bockius LLP ...
9/29/2005 | Content area: Investment Adviser
Investment Adviser Act of 1940 - Rule 202(a)(11)-1 Application of Rule 202(a)(11)-1 to a Broker-Dealer's E...


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