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SEC FAQ on family office definition

Greenberg Traurig LLP
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USA
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February 23 2012

The SEC has answered 13 “frequently asked questions” regarding the definition of a “family office” that is excluded from regulation as an investment adviser under the Advisers Act (see our July 20, 2011, issue of Buy-Side Roundup for more on the family office exclusion

SEC investment adviser and investment company Compliance Outreach Program National Seminar

Greenberg Traurig LLP
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USA
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February 23 2012

On Tuesday, January 31, 2012, the SEC hosted its annual Compliance Outreach Program National Seminar

Social media guidance

Greenberg Traurig LLP
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USA
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January 25 2012

The SEC recently issued a National Examination Risk Alert (as an attachment to an enforcement release) highlighting the risks investment adviser firms face when using social media

Upcoming registration and reporting deadlines

Greenberg Traurig LLP
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USA
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January 25 2012

As part of the implementation of the Dodd-Frank Act, all investment advisers (including private equity, venture capital and hedge fund managers) with at least $25 million in assets under management must either (i) register or update their existing registration with the SEC or their home state regulator or (ii) file a report with the SEC as an exempt reporting adviser, in each case electronically on Form ADV

IRS issues new regulations on dividend withholding

Greenberg Traurig LLP
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USA
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January 25 2012

On January 19, 2012, the Internal Revenue Service released two sets of regulations addressing the U.S. withholding tax rules for dividend equivalents paid on certain derivatives

SEC issues no action letter regarding registration of affiliates

Greenberg Traurig LLP
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USA
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January 25 2012

On January 18, 2012, the SEC issued a no action letter (the “2012 Letter”) to the American Bar Association regarding registration requirements for adviser affiliates, including related advisers and general partnersmanaging members of private funds and other special purpose vehicles (SPVs), in light of Dodd-Frank’s repeal of the exemption previously provided by section 203(b)(3) of the Advisers Act

Requests for repeal of private offering ban on general solicitation and advertising

Greenberg Traurig LLP
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USA
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January 25 2012

Regulation D’s ban on general solicitation and advertising has come under fire in recent months

New net worth standard for accredited investors effective February 27, 2012

Greenberg Traurig LLP
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USA
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January 25 2012

To conform to Dodd-Frank’s new accredited investor standard, the SEC has amended its Securities Act rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may invest in certain private offerings

Congress holds hearings on Volcker Rule

Greenberg Traurig LLP
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USA
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January 25 2012

On January 18, 2012, the House of Representatives, Committee of Financial Services, Subcommittees on Financial Institutions and Consumer Credit and on Capital Markets and Government Sponsored Enterprises held a joint hearing examining the impact of the Volcker Rule on markets, businesses, investors and job creation

2012 IARD Renewal Program

Greenberg Traurig LLP
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USA
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November 16 2011

The 2012 IARD Renewal Program, which facilitates the annual renewal of investment adviser firms and their representatives' registrations with jurisdictionsstates, will begin on November 14, 2011, when Preliminary Renewal Statements will be made available on IARD

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