Posts tagged as:

registration

Obama Moves Forward with Hedge Fund Registration Legislation

July 15, 2009

Bart Mallon, Esq.
http://www.hedgefundlawblog.com
Treasury Announces New “Private Fund Investment Advisers Registration Act of 2009”
After much discussion in the press over the last 8 to 10 months abut the possibility for hedge fund registration, the Treasury today announced the Obama Administration’s bill which requires managers to “private funds” to register with the SEC.  This registration requirement would [...]

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Hedge Fund Registration Quick Facts

February 3, 2009

Hedge Fund Transparency Act of 2009 Overview
This article provides an overview of the major provisions of the Hedge Fund Transparency Act of 2009.  There are two major things that the HFTA does: (1) increases regulation of hedge funds under the Investment Company Act and (2) requires hedge funds to adopt anti-money laundering programs.
Changes under the [...]

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Hedge Fund Registration Bill Announced

January 29, 2009

Senators Grassley and Levin Introduced Bill Requiring Hedge Fund Registration
A new bill called the Hedge Fund Transparency Act was introduced today by Senators Chuck Grassley and Carl Levin.  A press release from Grassley’s website explains the bill.
More to be forthcoming…
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For Immediate Release
January 29, 2009
Grassley and Levin introduce hedge fund transparency bill
WASHINGTON – Senators Chuck [...]

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SEC and Registered Hedge Fund Investment Advisors: Report by the GAO

November 3, 2008

This article is part of a series examining the statements in a report issued by the Government Accountability Office (GAO) in February 2008.  The items in this report are important because they provide insight into how the government views the hedge fund industry and how that might influence the future regulatory environment for hedge funds.  [...]

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Overview of Hedge Fund Investment Advisors

October 13, 2008

It is often said that hedge funds are unregistered or lightly regulated investment pools.  While this is correct, there are certain regulations which an investment manager must follow including certain regulations under the Investment Advisers Act of 1940 (and the securities laws of the state of residence of the hedge fund manager).  These regulations may [...]

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SEC’s guide to Broker-Dealer registration

June 5, 2008

I. INTRODUCTION
The Securities Exchange Act of 1934 (”Exchange Act” or “Act”) governs the way in which the nation’s securities markets and its brokers and dealers operate. We have prepared this guide to summarize some of the significant provisions of the Act and its rules. You will find information about whether you need to register as [...]

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