Securities and Exchange Commission December 10, 2010 – Federal Register Recent Federal Regulation Documents
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Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
The Securities and Exchange Commission (the ``Commission'') is proposing rules that would implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to certain privately offered investment funds that were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). As required by Title IV of the Dodd-Frank Actthe Private Fund Investment Advisers Registration Act of 2010, the new rules would define ``venture capital fund'' and provide for an exemption for advisers with less than $150 million in private fund assets under management in the United States. The new rules would also clarify the meaning of certain terms included in a new exemption for foreign private advisers.
Rules Implementing Amendments to the Investment Advisers Act of 1940
The Securities and Exchange Commission is proposing new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are proposing rule amendments, including amendments to the Commission's pay-to-play rule, that address a number of other changes to the Advisers Act made by the Dodd-Frank Act.
Security-Based Swap Data Repository Registration, Duties, and Core Principles
In accordance with Section 763(i) of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission'') is proposing new rules under the Securities Exchange Act of 1934 (``Exchange Act'') governing the security-based swap data repository (``SDR'') registration process, duties, and core principles.
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