The SEC has adopted new rules implementing certain changes to the Investment Advisers Act of 1940 that were made as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new regulations provide several replacement exemptions for the former “private adviser exemption. We review three key new exemptions and discuss compliance and other issues for US- and Non-US Advisers. We also provide a summary of important dates for new and existing registrants.
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