Rules & Regulations

This is known as the internet adviser exemption

Rules for writing a free writing prospectus

This is the IA compliance rule

This is another new Advisers Act rule directed at PF advisers in 2023

This Adviser Act rule lays out how PF advisers should handle certain secondary deals

This is the Advisers Act rule directed at how PF advisers handle quarterly statements

These are the key definitions under the SEC's PF compliance rules

This is the SEC's rule on PF audits

This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule

(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b–3), you ...