Investments Articles - Page 40
ARTICLES(1,789)
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SEC Issues Order Approving Adjustment to “Qualified Client” Dollar Amount Tests
- July 21, 2011
- LEGAL ALERTS/ARTICLES
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The UK Electricity Market: Time for US Investors to Take Another Look?
- July 21, 2011
- LEGAL ALERTS/ARTICLES
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Rules Implementing Amendments to the Investment Advisers Act of 1940
- July 20, 2011
- LEGAL ALERTS/ARTICLES
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SEC Extends Deadline for Registration by, and Establishes Certain Exemptions from such Registration for, Non-U.S. and U.S. Advisers
- July 20, 2011
- LEGAL ALERTS/ARTICLES
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Connecticut Department of Banking Releases Orders Clarifying Investment Adviser Registration and Regulation
- July 19, 2011
- LEGAL ALERTS/ARTICLES
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Investment Adviser Act Audits: OCIE Deputy Director Norm Champ Explains What Examiners Are Looking For When Conducting Examinations
- July 19, 2011
- LEGAL ALERTS/ARTICLES
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S.E.C. Director of Enforcement, Robert Khuzami, Speaks at the SIFMA Compliance & Legal Society Monthly Luncheon — Revised
- July 19, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Final Rules Implementing Amendments to the Advisers Act
- July 19, 2011
- LEGAL ALERTS/ARTICLES
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Securities and Exchange Commission Finalizes Registration Exemptions for Private Fund Advisers
- July 19, 2011
- LEGAL ALERTS/ARTICLES
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Enforceability of Capital Commitments in a Subscription Credit Facility
- July 18, 2011
- LEGAL ALERTS/ARTICLES
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Good News for SMES - Prospectus Exemptions Relaxed
- July 18, 2011
- LEGAL ALERTS/ARTICLES
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SEC Implements Registration Requirements for Venture Capital, Real Estate and Other Private Fund Managers
- July 15, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration and Exemption Requirements
- July 14, 2011
- LEGAL ALERTS/ARTICLES
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Recent Regulatory Developments an Update for Canadian Registrants
- July 13, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Final Rules for Advisers to Private Investment Funds and Amendments to Form ADV
- July 13, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Rules under the Dodd-Frank Act Implementing Amendments to the Investment Advisers Act and Extends Deadline for Compliance
- July 12, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Definition of Family Office
- July 11, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Rule Defining "Family Offices" Under the Investment Advisers Act of 1940
- July 11, 2011
- LEGAL ALERTS/ARTICLES
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Venture Capital Fund Advisers Escape Investment Advisers Act Registration
- July 11, 2011
- LEGAL ALERTS/ARTICLES
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First Brochure Supplement Deadline Approaching for Investment Advisers
- July 08, 2011
- LEGAL ALERTS/ARTICLES
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Key Aspects of the SECs Recent Changes to the Advisers Act Pursuant to the Dodd-Frank Act
- July 06, 2011
- LEGAL ALERTS/ARTICLES
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SEC Amends Pay-to-Play Rule
- July 06, 2011
- LEGAL ALERTS/ARTICLES
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Federal vs. State Regulation of Investment Advisers
- July 05, 2011
- LEGAL ALERTS/ARTICLES
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NASDAQ Gains Approval for BX Venture Market for Smaller Companies
- July 05, 2011
- LEGAL ALERTS/ARTICLES
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Possible Changes to the AIFM Directive for Venture
- July 05, 2011
- LEGAL ALERTS/ARTICLES
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SEC Approves Operations Professional Rule — Certain Operations Professionals Will Be Required to Register With FINRA
- July 05, 2011
- LEGAL ALERTS/ARTICLES
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SEC Releases Final Rule Exempting Family Offices
- June 30, 2011
- LEGAL ALERTS/ARTICLES
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Private Fund Adviser Exemptions
- June 29, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Dodd-Frank Act Investment Adviser Rules and Delays Implementation of Some Deadlines
- June 29, 2011
- LEGAL ALERTS/ARTICLES