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With one month to spare, the SEC will consider final private fund adviser registration rules

USA - June 9 2011 On June 22, the SEC will meet to consider adopting final rules and rule amendments to implement the requirements of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

U.S. SEC extends the customer identification program no-action letter for broker-dealers and changes the terms

USA - February 17 2011 On January 11, 2011, the US Securities and Exchange Commission ("SEC"), in consultation with the Department of the Treasury, Financial Crimes Enforcement Network ("FinCEN"), again extended the Bank Secrecy Act ("BSA") Customer Identification Program ("CIP") no-action letter (initially issued in 2004) relating to broker-dealer reliance on SEC registered investment advisers ("RIAs").

Amy G. Rudnick, Linda Noonan.

Investment advisers to private funds - registration under the Investment Advisers Act of 1940

USA - September 14 2010 On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law by President Obama.

Amy Goodman, Edward D. Nelson, Edward Sopher, Jennifer Bellah Maguire, William Thomas Jr..

The annual risk assessment requirement for investment advisers: keeping your review current

USA - September 7 2010 Rule 206(4)-7 under the Investment Advisers Act of 1940 (the "Advisers Act") requires registered investment advisers to adopt and implement written policies and procedures that are reasonably designed to prevent violations of the Advisers Act by the adviser and any of its supervised persons within the meaning of Advisers Act section 202(a)(25).

Barry Goldsmith, William Thomas Jr..

The regulation of advisers to private funds: Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act

USA - July 16 2010 On July 15, 2010, the Senate voted (60-39) to approve the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), which is expected to be signed into law next week by President Obama.