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Investment Funds ARTICLES

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Investment Advisers Faced a Tumultuous Regulatory Year

By: Ira R. Halperin

In 2011, the executive, legislative and judicial branches of the U.S. government focused their not inconsiderable efforts on the regulatory regime surrounding investment advisers.  This article provides an overview of selected court decisions, and regulatory and legislative actions significantly affecting the asset management business.

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Exemptions from Registration Under the Advisers Act

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Pursuant to final rules adopted by the Securities and Exchange Commission (“SEC”) effective July 21, 2011, family offices, foreign private advisers and investment advisers to venture capital funds and to private funds with assets under management of less than $150 million are exempt from registration under the Investment Advisers Act of 1940, as amended (the “Advisers Act”).

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Through the Looking Glass (Inside the World of Private Funds)

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This article seeks to present how recent regulatory initiatives benefit investors who have invested, or are looking to invest, in private funds. Private fund industry participants, particularly compliance officers of private fund advisers, closely monitor proposed regulations to determine how such proposals affect the business and operations of private fund advisers.

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Accredited Investor Today Not Tomorrow

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Beginning July 21, 2010, who can buy and to whom companies can  sell privately placed securities changed when President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).

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