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Baker Botts LLP | USA | 18 May 2011

SEC to increase "qualified client" thresholds

The SEC recently issued a Release under the Investment Advisers Act of 1940 which will impact the future marketing activities of investment advisers to hedge funds and other investment funds relying on the Section 3(c)(1) exemption from registration under the Investment Company Act of 1940.1


Lowenstein Sandler LLP | USA | 20 Oct 2008

SEC extends Form SH filing program with certain modifications

On October 15, 2008, the Securities and Exchange Commission (the “Commission”) adopted an interim final temporary rule requiring certain institutional investment managers to file information on Form SH concerning their short sales and positions of section 13(f) securities, other than options.

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