We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 1 of 1
Most popular |Most recent


SBIC exemption from SEC registration under Dodd-Frank Act

USA - July 18 2011 The SEC’s final rules on the implementation of SEC registration requirements for investment advisers under the Investment Advisers Act of 1940, as recently modified by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), were published in the Federal Register and will become effective July 21, 2011 (the “Rules”)....

Robert G. Sawyer, Michael K. Wyatt, Kevin K. Nolan.