David Jain

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Articles

A Practical Guide to Interpreting the New SEC Private Fund Adviser Rules | JD Supra

Sep 15, 2023 | jdsupra.com | John Caccia |Heather Cruz |David Jain

On August 23, 2023, the Securities and Exchange Commission (the SEC) voted 3-2 to adopt a final set of rules and amendments under the Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand the regulatory compliance requirements for private fund advisers (both registered and not registered), exempt reporting advisers, State-regulated advisers, advisers relying on the foreign private adviser exemption and all other registered advisers...
SEC Private Fund Rules – Applicability and Compliance Deadlines | JD Supra

Aug 30, 2023 | jdsupra.com | John Caccia |Heather Cruz |David Jain

The SEC’s final set of rules and amendments under the Investment Advisers Act of 1940 significantly expanded the regulatory compliance requirements for certain investment advisers. This table summarizes the applicability of each part of the final rules (as well as the corresponding compliance date) to private fund advisers, exempt reporting advisers, State-regulated advisers, advisers relying on the foreign private adviser exemption and all other registered advisers.
SEC Private Fund Rules Applicability and Compliance Deadlines

Aug 29, 2023 | lexology.com | John Caccia |Gregory Norman |Anastasia T. Rockas |Heather Cruz |Anna Rips |David Jain

On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand the regulatory compliance requirements for certain investment advisers.
SEC Adopts Final Private Fund Adviser Rules | JD Supra

Aug 24, 2023 | jdsupra.com | Heather Cruz |David Jain |Anna Rips

On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the U.S. Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand the regulatory compliance requirements for certain investment advisers. The Final Rules impact: Registered investment advisers. Exempt reporting advisers. Private advisers. Investment advisers that would not otherwise be required to register with the SEC.
SEC Adopts Final Private Fund Adviser Rules

Aug 23, 2023 | lexology.com | Heather Cruz |Anna Rips |Anastasia T. Rockas |David Jain

On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the U.S. Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand the regulatory compliance requirements for certain investment advisers. The Final Rules impact:Registered investment advisers. Exempt reporting advisers. Private advisers. Investment advisers that would not otherwise be required to register with the SEC.