SEC's New Dodd-Frank Fund Oversight Rules

PLI Webcast

07/19/2011 01:00 p.m. - 02:00 p.m. EDT

Investment Management, Private Funds, Corporate, Financial Institutions + Financial Services, and Corporate Finance | Capital Markets

David M. Lynn

David M. Lynn


Christie Adams
(212) 336-4024

On June 22, 2011, the Securities and Exchange Commission adopted rules that will require advisers to hedge funds and other private funds to register with the SEC. The rules also establish new exemptions from SEC registration and reporting requirements for certain advisers, and change the allocation of regulatory responsibility for investment advisers between the SEC and states. The Dodd-Frank Act directed the SEC to adopt these rules in order to close a perceived regulatory gap in the oversight of funds.

Topics will include:

  • The new registration and reporting requirements for advisers
  • The exemptions applicable to advisers to venture capital funds, private fund advisers with less than $150 million in assets under management, and foreign private advisers
  • The SEC's definition of "family offices"
  • Transition rules for advisers that must register and those that must deregister
  • Timing and implementation considerations


  • Jay G. Baris, Partner, Morrison & Foerster LLP
  • David M. Lynn, Partner, Morrison & Foerster LLP
  • Andrew J. Donohue, Morgan, Lewis & Bockius LLP

PLI will provide CLE credit.

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