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Searching Content indexed under Securities by Ropes & Gray LLP's Private Investment Funds & Hedge Funds Practice Group ordered by Published Date Descending.
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SEC Adopts Amendments To Form ADV And Recordkeeping Rule
Finally, an investment adviser that reports its client assets in Part 2A of Form ADV differently than RAUM reported in Item 5 must now check a box noting that election.
United States
30 Aug 2016
2
SEC And CFTC Adopt Final Swap Product Definitional Rules, Which Will Trigger Compliance Dates For Multiple Dodd-Frank Act Rules
On July 6 and July 10, the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC" and, together with the SEC, the "Commissions"), respectively, adopted final rules defining the terms "swap," "security-based swap," and "security-based swap agreement," governing "mixed swaps," and establishing books and records requirements for "security-based swap agreements."
United States
17 Jul 2012
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