Lawrence D. Frishman

Form PF: Final Rules Adopted by the SEC and the CFTC
Geoff Bauer,Heather S. Cruz,Lawrence D. Frishman,Eric Requenez,Anastasia T. Rockas, May 1, 2012
On November 16, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) published in the Federal Register final rules requiring registered advisers to private funds to report certain information on Form PF. Form PF...

SEC Staff Responds to Questions About the Family Office Rule
Lawrence D. Frishman,Anastasia T. Rockas, February 15, 2012
On January 19, 2012, the staff of the Division of Investment Management (the “Staff”) of the Securities and Exchange Commission (the “SEC”) provided a set of responses to questions about rule 202(a)(11)(G)-1, the “family office rule” under the Investment Advisers...

Registration of Advisory Entities Affiliated With a Registered Investment Adviser
Heather S. Cruz,Andrew D. Deas,Lawrence D. Frishman,Anastasia T. Rockas, February 14, 2012
On January 18, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued a no-action letter (the “No-Action Letter”) in response to a request from the American Bar Association’s Subcommittee on Hedge Funds (the “ABA...