Proposed Rule 204-4 Pursuant to Dodd-Frank Act The SEC has proposed certain new rules as well as amendments to existing rules under the Investment Advisers Act as a result of the Dodd-Frank Act.  The following proposed new rule 204-4 provides that certain “exempt reporting advisers” are required to file Form [...]

Washington State Proposes Amendment to Definitions The Dodd-Frank bill has certainly created new responsibilities for the SEC and CFTC.  Also affected are the state securities divisions which have laws and regulations referencing, or based on, various federal securities laws.  Because federal laws have changed under Dodd-Frank, the state securities laws [...]

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Aug 2-3 Sponsor: Salvo Global Event: Counterparty & Credit Risk Masterclass Location: Johannesburg, South Africa August 3 Sponsor: 100 Women in Hedge Funds Event: [...]

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** May 2-4 Sponsor: Institutional Investor Event: Global Hedge Fund Summit Location: Southampton, Bermuda May 3-4 Sponsor: AFAQ Group Event: 2nd Jordan AFAQ Economic Forum [...]

Below is our quarterly newsletter.  If you would like to be added to our distribution list, please contact us. **** April 1, 2010 www.colefrieman.com Cole-Frieman &  Mallon LLP Quarterly Newsletter Clients and Friends, We take this opportunity to provide you with a brief overview of the major items we have [...]

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** April 7-8 Sponsor: WBR Event: TradeTech Derivatives USA Location: New York, NY April 8 Sponsor: NYSSA Event: Alternative Analysts’ Forum Location: New York, NY [...]

CFA Exam Overview The Chartered Financial Analyst (CFA) designation is a widely recognizable professional title for financial analysts in the investment management industry.  In order to earn the CFA Designation and become a CFA Charterholder, you must first enroll in the CFA Program at the CFA Institute and then pass [...]

www.hedgefundlawblog.com Text of the Cole-Frieman & Mallon LLP comment is provided below. **** [Footnotes ommitted] March 22, 2010 VIA ELECTRONIC MAIL AND COURIER Mr. David Stawick Secretary Commodity Futures Trading Commission 1155 21st Street, NW Washington, DC 20581 Re: Request for Comment on Proposed Regulation of Off-Exchange Retail Foreign Exchange [...]

Obama Health Care Bill Increases Capital Gains Rate to 23.8% According the this story by Bloomberg, the tax on dividends and long term capital gains under the Obama Health Care Bill will spike to 23.8% when the tax increases are fully implemented.  The article states: Obama’s budget proposes to allow [...]

The NFA recently adopted new Rule 2-46 which will require commodity pool operators to make a quarterly report to the NFA.  This quarterly reporting requirement is in addition to the annual audit financial statement filing requirement and must be completed through the NFA’s online filing system. We have provided an [...]