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Certain fund advisers that fit narrow definitions are exempt from registration requirements imposed by the Dodd-Frank Act, but are still required to comply with recordkeeping and reporting obligations.

The U.S. Securities and Exchange Commission issued a series of three releases that address the provisions of the Jumpstart Our Business Startups Act relating to general solicitation and general advertising in certain private offerings and provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the disqualification of bad actors from Rule 506 offerings.