17 CFR 275.203a-1 - Eligibility for SEC registration; Switching to or from SEC registration

Cite as17 CFR 275.203a-1
    • This document is available in original version only for vLex customers

      View this document and try vLex for 7 days
    • TRY VLEX
17 practice notes
  • Investment advisors: Hedge fund advisors; registration,
    • United States
    • Federal Register December 10, 2004
    • December 10, 2004
    ...and $30 million will be permitted to register. See Investment Advisers Act section 203A(a)(1) [15 U.S. 80b-3a(a)(1)] and rule 203A-1 [17 CFR 275.203A-1] \31\ The majority states that ``[o]ur examination staff uncovered, during routine or sweep exams, five of the eight cases we brought again......
  • Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers
    • United States
    • Federal Register September 01, 2015
    • September 1, 2015
    ...under the Investment Advisers Act of 1940 (``Advisers Act'') and the rules adopted under that Act. See 15 U.S.C. 80b et seq. and 17 CFR part 275. \6\ See Anti-Money Laundering Programs for Unregistered Investment Companies, 67 FR 60617 (Sept. 26, 2002). \7\ See Withdrawal of the Notice of P......
  • Investment advisers: Hedge fund advisers; registration,
    • United States
    • Federal Register July 28, 2004
    • July 28, 2004
    ...(1996) (codified in scattered sections of the United States Code). \121\ See rule 203A-2 [17 CFR 275.203A-2]. \122\ See rule 203A-1 [17 CFR 275.203A-1]. We request comment on the applicability of the minimum asset thresholds to hedge fund advisers. Should they be higher? Should they be lowe......
  • Part III
    • United States
    • Federal Register July 28, 2004
    • July 28, 2004
    ...(1996) (codified in scattered sections of the United States Code). \121\ See rule 203A-2 [17 CFR 275.203A-2]. \122\ See rule 203A-1 [17 CFR 275.203A-1]. We request comment on the applicability of the minimum asset thresholds to hedge fund advisers. Should they be higher? Should they be lowe......
  • Request a trial to view additional results

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT