DoubleLine Capital LP, a registered investment adviser under the
Investment Advisers Act of 1940, acts as the investment adviser for the Fund.
Notable potential new rule additions include a rule on auditor independence with respect to loans or debtor-creditor relationships, which would amend Reg S-X, as well as a rule to require that the
Investment Advisers Act conform to the Fixing America's Surface Transportation Act, or FAST Act.
The Securities and Exchange Commission today adopted amendments to several
Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers.
In this book, authors Frankel and Laby present readers with the third edition of their four-volume comprehensive examination of the Investment Company Act, The
Investment Advisers Act, and the contemporary regulation of mutual funds and their managers.
Fortunately, the
Investment Advisers Act of 1940 may provide the definitive answer.
206(4) of the
Investment Advisers Act of 1940 to their use of social media.
Sierra's investment activities are managed by its investment adviser, SIC Advisors, LLC, which is an investment adviser registered under the
Investment Advisers Act of 1940, as amended.
The legislation would amend the
Investment Advisers Act of 1940 to provide for the creation of National Investment Adviser Associations (NIAAs), registered with and overseen by the SEC.
Blizzard will supervise two offices that develop recommendations for rulemaking and other policy initiatives under the Investment Company Act and the
Investment Advisers Act.
Resources include news articles, introductory-level articles, blogs, links to financial and investment-related resources, and links to code and case law sources, such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the
Investment Advisers Act of 1940.
The SEC in June followed through with rulemaking responsibilities under the new law by releasing final rules that include new registration and reporting requirements for advisers to hedge funds and other private funds, and define "family offices" that are excluded from the
Investment Advisers Act of 1940.
This legislation - and the regulations to follow -- will impact unregistered investment advisers of private equity funds as most of them will now be required to become registered with the Securities and Exchange Commission and will be subject to the full spectrum of regulations under the
Investment Advisers Act," the bank said in a press release.
