The second of three Dodd-Frank rules affecting advisers passed by the SEC last week would define a venture capital fund and set rules when these ...
Three years after the financial crisis that sparked them, three new SEC rules have been finalized by the Commission. Advisers affected by them will have ...
This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being ...
This is the SEC final rule from June 2011 that spells out exemptions for venture capital funds, private fund advisers with fewer than $150 million ...
This is the amended Form ADV with changes that the SEC made to Dodd-Frank reforms. This was released in June 2011.
Speech by SEC Chairman: Statement at SEC Open Meeting: Item #3 – Family Offices by Chairman Mary Schapiro U.S. Securities and Exchange ...
“Moving from Proposal to Implementation: The Changing Adviser Landscape” (Commissioner Luis A. Aguilar; June 22, 2011) Speech by SEC Commissioner: “Moving from Proposal to Implementation: ...
Speech by SEC Commissioner: Statement at Open Meeting to Adopt a Final Rule Excluding a "Family Office" from the Definition of "Investment ...
Opening Statement at SEC Open Meeting: Dodd-Frank Act Amendments to the Investment Advisers Act (Chairman Mary Schapiro; June 22, 2011) Speech by SEC Chairman: Opening ...
SEC Speech: Remarks Before the American Securitization Forum 2011 Annual Meeting; Washington, D.C.: June 22, 2011 (Chairman Mary L. Schapiro) Speech by SEC Chairman: Remarks ...