Extension of Registration ... provided an exemption to advisers who had fewer than fifteen clients and who did not hold themselves out to the public as investment advisers. Please see full ...

The de minimis exemption means certain investment advisors don't have to register in a state where they have only minimal business. They are typically free from doing so where they have no more ...

Any investment adviser with questions relating to registration requirements or exemptions should contact Meredith Haviland or Jeffrey Collins of Foley Hoag's Investment Management Group ...

An adviser that becomes ineligible to use the exemption must register in one or more states and withdraw their registration with the SEC by filing Form ADV-W by June 29, 2025. The Investment Adviser ...

James Chen, CMT is an expert trader, investment adviser ... being a reference to the 3(c)(7) exemption. Both 3C1 and 3C7 funds are exempt from SEC registration requirements under the Investment ...

Lindsey Cox is CEO of Launch Tennessee, a public-private non-profit organization focused on technology and entrepreneur development. There is much good news on the horizon for Tennessee’s ...

NEW YORK — Municipal advisors remain concerned about one of the key exemptions to the Securities and Exchange Commission's municipal advisor registration ... at Acacia Financial Group, Inc ...

The SEC has reached a settlement with Barthelemy Group and its principal, Evens Barthelemy, for violations of the 1940 Investment Advisers ... registration under the multistate exemption.