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336 results found

Article

Buckley LLP | USA | 29 Jul 2016

Agencies Propose Method for Adjusting Small-Loan-Exemption Threshold under HPML Appraisal Rules

On July 22, the CFPB, the Federal Reserve Board, and the OCC issued a joint proposal “detailing the method that will be used to make annual inflation

Article

DLA Piper | USA | 6 Jul 2016

Net worth threshold for "qualified clients" under Investment Advisers Act will increase effective 8152016

Effective as of August 15, 2016, the net worth threshold for qualified clients under Investment Advisers Act Rule 205-3 will increase from $2 million

Article

Kramer Levin Naftalis & Frankel LLP | USA | 2 Jul 2016

SEC Raises Qualified Client Net Worth Threshold to $2.1M

On June 14, the Securities and Exchange Commission ("SEC") issued an order increasing the net worth threshold for qualified clients from $2 million

Article

Thompson Hine LLP | USA | 9 Mar 2012

Investment management update: SEC amends performance fee rule

Amendments to the performance fee rule going into effect this spring will change the way such fees are calculated.

Article

Katten Muchin Rosenman LLP | USA | 17 Feb 2012

SEC revises the "qualified client" standards for registered investment advisers

The Securities and Exchange Commission has adopted amendments to Rule 205-3 under the Investment Advisers Act of 1940, as amended (the Advisers Act), to revise the definition of "qualified client."

Article

Faegre Baker Daniels LLP | USA | 19 Aug 2011

SEC changes the Qualified Client standard

On July 12, 2011, the Securities Exchange Commission (the "SEC") ordered changes to the dollar amount thresholds in the "Qualified Client" definition under rule 205-3 of the Investment Advisers Act of 1940.

Article

Pepper Hamilton LLP | USA | 10 Aug 2011

SEC tightens restrictions on which investors can be charged performance fees by investment advisers

The Securities and Exchange Commission (SEC) has issued an order approving adjustments to the “qualified client” threshold that will have the effect of imposing tighter restrictions on the ability of investment advisers to charge performance-based fees to their advisory clients.

Article

Ropes & Gray LLP | USA | 8 Aug 2011

SEC increases “qualified client” dollar-amount thresholds for performance fee rule

On July 12, 2011, the SEC issued an order increasing the dollar-amount thresholds used to determine whether an advisory client, or an investor in a private fund, is a “qualified client” that may be charged a performance fee by its investment adviser under Rule 205-3 under the Advisers Act.

Article

Winston & Strawn LLP | USA | 18 Jul 2011

SEC raises performance fee rule dollar limit

On July 12th, the SEC, in accordance with the Dodd-Frank Act, issued an order that raises, to adjust for inflation, two of the thresholds that determine whether an investment adviser can charge its clients performance fees.

Article

Katten Muchin Rosenman LLP | USA | 15 Jul 2011

SEC raises "qualified client" thresholds

On July 12, the Securities and Exchange Commission issued an order raising the thresholds for determining who is a "qualified client" for purposes of Rule 205-3 under the Investment Advisers Act of 1940.

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