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ARTICLE · 06 AUGUST 2010

Dodd-Frank Regulations Impacting Private Funds

Loeb & Loeb LLP
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As a result of the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act, Congress may require your private fund adviser to register with the SEC or with one or more of the state securities commissions.

United StatesFinance and Banking
Loeb & Loeb'S Financial Reform Task Force
Loeb & Loeb'S Financial Reform Task Force

As a result of the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act, Congress may require your private fund adviser to register with the SEC or with one or more of the state securities commissions. This alert will enable you to determine what your status will be when these regulations take effect in summer 2011.

Mandatory SEC Registration for the Following Private Fund Advisers

  1. U.S. advisers to large private funds with assets under management (AUM) of $150 million or more.
  2. Foreign advisers to private funds if the fund has 15 or more U.S. investors and AUM attributable to those U.S. investors of $25 million or more, and the adviser has a place of business in U.S.

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