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Open Categories Menu Hedge fund managers should not match trades between commonly managed accounts in thinly traded (or illiquid) securities as this may pose potential problems under the Investment Advisors Act of 1940. This holds true whether the hedge fund manager is registered or unregistered. As the release below shows, the manager may [...]
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Posts Tagged ‘ Investment Advisers Act of 1940 ’
3 December
Posted in
Investment Advisor, Regulatory Actions
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Investment Advisor Barred From IA Industry For Matching Trade Fraud
9 October
Posted in
Investment Advisor, Legal Resources
Overview of Investment Advisers Act of 1940
One of the most important set of the federal securities laws which relate to hedge fund managers is the Investment Advisers Act of 1940 (Investment Advisers Act). The Investment Advisers Act provides the manner in which investment advisers will register with the SEC, provides the laws that must be followed [...]
24 August
Posted in
Hedge Fund Questions and Answers
What licenses do you need to start or manage a hedge fund?
Question: What licenses do you need to start or manage a hedge fund? Answer: This is a question that comes up quite often. Many people wonder whether they need a series 7 license or the series 65 license or the series 3 to manage a hedge fund. First, a potential [...]
