Exemptions, Investment Adviser, Form ADV

The SEC Amends the Internet Adviser Exemption

Goodwin on 4/22/2024

On March 27, 2024, the US Securities and Exchange Commission (SEC) adopted amendments to Rule 203A-2(e) of the Investment Advisers Act of 1940 (the Advisers Act) (the Internet Adviser Exemption)....more

SEC Adopts Amendments to Modernize Internet Investment Adviser Registration Exemption

Stark & Stark on 4/17/2024

On March 27, 2024, the Securities and Exchange Commission adopted amendments to modernize the rule for internet investment advisers relying on the exemption that qualifies them for SEC registration as smaller investment...more

Updated: SEC Extends Temporary Exemptions From Form ADV And Form PF Filing And Delivery Requirements

A&O Shearman on 4/1/2020

In an Order dated March 25, 2020, the Securities and Exchange Commission offered an exemption to investment advisers that are confronting COVID-19-related disruptions with respect to certain filing obligations. The Order...more

COVID-19 Update – Limited Form ADV & Form PF Filing Relief

Vedder Price on 3/19/2020

On March 13, 2020, the Securities and Exchange Commission (“SEC”) issued an exemptive order providing temporary relief from Form ADV and Form PF filing obligations applicable to registered investment advisers and...more

Form ADV Annual Updating Amendment Reminder

Dorsey & Whitney LLP on 2/12/2020

All registered investment advisers and exempt reporting advisers (“Advisers”), need to file the annual Form ADV amendment within 90 days of the firm’s fiscal year-end (by March 30, 2020 for those with a December 31, 2019...more

Annual Reports & Best Practices for VCs and Other Exempt Reporting Advisers

Bryan Cave Leighton Paisner on 3/8/2016

In 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) created a new classification called “exempt reporting advisers” (ERAs) for advisers who are exempt from investment adviser registration as...more