Skip to main content

Past Event
25 August 2011

New Exemptions for Investment Advisers

On June 22, the SEC adopted new rules implementing certain amendments to the Advisers Act made as part of the Dodd-Frank Act, including creating and clarifying certain exemptions from registration as an investment adviser. These rules were adopted substantially as proposed, but with a small number of changes. Please join us as Mayer Brown partner Stephanie Monaco and associate Adam Kanter summarize the exemptions and discuss how these exemptions apply to current facts applicable in the real world. Topics will include:

  • The Foreign Private Adviser Exemption
  • The Private Fund Adviser Exemption
  • Application of Exemptions to Actual Situations
  • Important Dates

Of Related Interest

Summary of Certain Exemptions Added to the Advisers Act by Dodd-Frank and Related SEC Rulemakings

SEC vs. State Registration for Investment Advisers (“IAs”) Based on Level of Regulatory Assets Under Management (“RAUM”)

US Securities and Exchange Commission Adopts New Exemptions for Investment Advisers
Legal Update

Mayer Brown's Global Financial Markets Initiative helps clients deal with the legal and business challenges resulting from the ongoing turbulence in worldwide financial markets. By mobilizing the firm's global resources from multiple practices and offices, the Initiative provides clients with knowledgeable and timely counsel on a broad spectrum of their legal needs.

Related Multimedia

The Build a Report feature requires the use of cookies to function properly. Cookies are small text files that are placed on your computer by websites that you visit. They are widely used in order to make websites work, or work more efficiently. If you do not accept cookies, this function will not work. For more information please see our Privacy Policy

You have no pages selected. Please select pages to email then resubmit.