http://www.hedgefundlawblog.com/secs-guide-to-broker-dealer-registration.html Blogging on hedge fund laws, starting a hedge fund, news and events... Thu, 05 Jan 2012 15:32:15 +0000 hourly 1 http://wordpress.org/?v=3.3.1 http://www.hedgefundlawblog.com/secs-guide-to-broker-dealer-registration.html/comment-page-1#comment-2504 Series 79 Exam — Hedge Fund Law Blog Sat, 04 Jul 2009 00:42:53 +0000 http://www.hedgefundlawblog.com/?p=130#comment-2504 [...] Broker Dealer Registration Guide [...] [...] Broker Dealer Registration Guide [...]

]]> http://www.hedgefundlawblog.com/secs-guide-to-broker-dealer-registration.html/comment-page-1#comment-380 DOL Sues Investment Adviser for Receiving Undisclosed Fees from Hedge Fund | Hedge Fund Law Blog Sun, 26 Oct 2008 16:45:44 +0000 http://www.hedgefundlawblog.com/?p=130#comment-380 [...] Guide to Broker-Dealer Registration [...] [...] Guide to Broker-Dealer Registration [...]

]]> http://www.hedgefundlawblog.com/secs-guide-to-broker-dealer-registration.html/comment-page-1#comment-275 Overview of the Securities Exchange Act of 1934 | Hedge Fund Law Blog Tue, 14 Oct 2008 21:00:02 +0000 http://www.hedgefundlawblog.com/?p=130#comment-275 [...] of hedge funds need to be registered as brokers under the Exchange Act.  The SEC has provided guidance on broker registration which indicates that hedge fund managers may be required to register as brokers.  While only a few [...] [...] of hedge funds need to be registered as brokers under the Exchange Act.  The SEC has provided guidance on broker registration which indicates that hedge fund managers may be required to register as brokers.  While only a few [...]

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