Form ADV updates: a few tips for advisers getting an early start *

USA - October 11 2012
As we enter the fourth quarter of 2012, investment advisers registered with the US Securities and Exchange Commission (SEC) should begin thinking about the annual update to Form ADV Part 2 (the Brochure).

Co-authors: Elizabeth M. Knoblock.

US Securities and Exchange Commission adopts large-trader reporting system *

USA - August 9 2011
On July 26, 2011, the US Securities and Exchange Commission (SEC) voted unanimously to adopt Form 13H and Rule 13h-1 under the Securities Exchange Act of 1934 (Exchange Act).

Co-authors: Scott A. Anenberg, Marc R. Cohen, David R. Sahr, Jerome J. Roche.

US Securities and Exchange Commission adopts new exemptions *

USA - July 15 2011
On July 21, 2010, The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd- Frank) was signed into law, amending certain portions of the Investment Advisers Act of 1940, as amended (Advisers Act) effective July 21, 2011.

Co-authors: Amy Ward Pershkow , Stephanie M. Monaco, Elizabeth M. Knoblock, Leslie S. Cruz , Jerome J. Roche.