Investment Advisers Act

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

This is the SEC's proposed rule calling for private fund audits

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C

This is the SEC's proposal for a cybersecurity rule for investment advisers

Provides for compensation to the investment adviser on the basis of a share of the capital gains

The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...

The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulations implementing ...

(a) Form ADV-W. You must file Form ADV-W to withdraw from investment adviser registration with the Commission (or to withdraw a pending registration application). (b) ...