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2011-07-19
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Rules Implementing Amendments to the Investment Advisers Act of 1940
Part III
Rules and Regulations
D09002ee1bdd004b1
D09002ee1bdd009ec
United States
Securities and Exchange Commission
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org
United States Government Agency or Subagency
The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
76 FR 42950
https://www.govinfo.gov/app/details/FR-2011-07-19/2011-16318
2011-16318
fr19jy11-22
RIN 3235-AK82
8011-01-P
Release No. IA-3221
File No. S7-36-10
https://www.govinfo.gov/app/details/FR-2011-07-19/2011-16318
https://www.govinfo.gov/content/pkg/FR-2011-07-19/html/2011-16318.htm
https://www.govinfo.gov/content/pkg/FR-2011-07-19/pdf/2011-16318.pdf
Reporting and Recordkeeping Requirements; Securities
156 p.
42950
43105
76 FR 42950
Code of Federal Regulations
Title 17 Part 275
17 CFR Part 275
Code of Federal Regulations
Title 17 Part 279
17 CFR Part 279
Regulation Identification Number 3235-AK82
RIN 3235-AK82
Rules Implementing Amendments to the Investment Advisers Act of 1940; Federal Register Vol. 76, Issue
RULE
2011-16318
III
SECURITIES AND EXCHANGE COMMISSION
2011-09-19
Release No. IA-3221
File No. S7-36-10
8011-01-P
2011-16318
Final rule.
The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
Effective dates: The effective date of 17 CFR 275.204-4 and 275.203A-5(b) and (c), amendments to 17 CFR 275.0-7, 275.203A-1, 275.203A-2, 275.203A-3, 275.204-1, 275.204-2, 275.206(4)-5, 275.222-1, and 275.222-2, and amendments to Forms ADV, ADV-E, ADV-H, and ADV-NR (referenced in 17 CFR part 279) is September 19, 2011. The effective date of 17 CFR 275.203A-5(a) and the amendment to 17 CFR 275.203-1 is July 21, 2011. 17 CFR 275.202(a)(11)-1, 275.203(b)(3)-1, 275.203(b)(3)- 2, and 275.203A-4 are removed effective September 19, 2011.
David P. Bartels, Attorney-Adviser, Michael J. Spratt, Attorney-Adviser, Jennifer R. Porter, Senior Counsel, Devin F. Sullivan, Senior Counsel, Melissa A. Roverts, Branch Chief, Matthew N. Goldin, Branch Chief, or Daniel S. Kahl, Assistant Director, at (202) 551-6787 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-8549.
Reporting and Recordkeeping Requirements; Securities
Rules Implementing Amendments to Investment Advisers Act of 1940
,
IArules@sec.gov
http://www.adviserinfo.sec.gov
http://www.aima.org/en/knowledge_centre/index.cfm
http://www.bloomberg.com
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http://www.sec.gov/comments/s7-37-10/s73710.shtml
http://www.sec.gov/divisions/investment/iard/iardfee.shtml
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http://www.sec.gov/iard
http://www.sec.gov/news/studies/2011/919bstudy.pdf
http://www.sec.gov/rules/other/2010/ia-3126.pdf
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http://www.sos.state.il.us/departments/securities/investment_advisers/fees.html
http://www.ssb.state.tx.us/Dealer_And_Investment_Adviser_Registration/Check_Sheet_For_a_Sole_Proprieter_Corporation_LLC_or_Partnership_Applying_For_Registration_as_an_Investment_Adviser.php
Federal Register
Vol. 76, no. 138
Office of the Federal Register, National Archives and Records Administration
2011-07-19
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https://www.govinfo.gov/app/details/FR-2011-07-19
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