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Colorado exempts most (but not all) family offices and venture capital fund advisers from state investment adviser licensing requirements
- Davis Graham & Stubbs
- -
- USA
- -
- April 12 2012
On March 30, 2012, the Colorado Division of Securities issued an order (the “Order”) clarifying that, with some notable exceptions, investment advisers meeting the requirements of the federal exemptions for family office advisers, venture capital fund advisers, and foreign private advisers will be exempt from the adviser licensing requirements of the Colorado Securities Act
Alphabet soup for asset managers: new and revised SEC Forms 13H, ADV, and PF
- Davis Graham & Stubbs
- -
- USA
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- January 23 2012
As 2012 begins, investment advisers should keep in mind certain new and revised forms implemented in 2011 by the Securities and Exchange Commission (the “SEC”
Flipping "the switch" by January 31, 2012: an important upcoming compliance date for investment advisers switching from the SEC to Colorado
- Davis Graham & Stubbs
- -
- USA
- -
- January 12 2012
The Colorado Division of Securities (as part of a program dubbed "The Switch") has published general guidance and instructions for investment advisers that will be switching from the SEC to Colorado as required by the Dodd-Frank Act
SEC adopts revised net worth standard for accredited investors
- Davis Graham & Stubbs
- -
- USA
- -
- January 3 2012
On December 21, 2011, the Securities Exchange Commission (“SEC” or “Commission”) amended the “net worth” standard, one of the most frequently used eligibility standards for determining “accredited investor” status for purposes of certain unregistered securities offerings
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- Firm Name - Davis Graham & Stubbs
- Author - Peter H. Schwartz