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SEC issues proposals to implement Dodd-Frank and require private fund advisers to register

USA - January 26 2011 On November 19, 2010 the Securities and Exchange Commission ("SEC") issued a release proposing new rules and rule amendments under the Investment Advisers Act of 1940 ("Advisers Act") to give effect to the provisions of Title IV of the Dodd-Frank Act (aka, the "Private Fund Investment Adviser Registration Act of 2010") (See Release No. IA-3110)....

Timothy S. Johnson.


‘Advancing the ball’ toward completing plain English brochures under amended Form ADV

USA - October 6 2010 While it took years for Form ADV to be revised, an investment adviser registered, or required to be registered, under the Investment Advisers Act of 1940 (“Advisers Act”) does not have even one year to comply with the amendments to Form ADV, and certain related Advisers Act rules, that were promulgated by the U.S. Securities and Exchange Commission (“SEC”) on July 28, 2010....

Frederick C. Leech, Alicia G. Powell, George F. Magera.


A user's guide to the ICI Money Market Fund Working Group report

USA - April 1 2009 On March 17, 2009, the Money Market Working Group ("MMWG") of the Investment Company Institute (the "ICI") submitted a 216-page Report to the ICI's Board of Governors....

Stephen A. Keen.