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Legal Update

US Securities and Exchange Commission Adopts New Exemptions for Investment Advisers

15 July 2011
Mayer Brown Legal Update
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.


  • Leslie S. Cruz
    T +1 202 263 3337
  • Adam D. Kanter
    T +1 202 263 3164
  • Stephanie M. Monaco
    T +1 202 263 3379
  • Amy Ward Pershkow
    T +1 202 263 3336
  • Jerome J. Roche
    T +1 202 263 3773

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