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Investment Advisers Act of 1940 Required Forms Securities Regulation

Morris, Manning & Martin, LLP

"Custody" for Registered Investment Advisers in Unusual Circumstances

For most registered investment advisers (RIAs), their annual update to Form ADV will be due on March 31, 2025. We have received several questions about “custody” and peculiar situations where RIAs may inadvertently have...more

Sullivan & Worcester

SEC Adopts Amendments to the Investment Company Names Rule (Rule 35d-1)

Sullivan & Worcester on

On September 20, 2023, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 35d-1[1] (the “Names Rule”) under the Investment Company Act of 1940, as amended (“1940 Act”), as well as amendments to certain...more

Morgan Lewis

SEC Provides Relief for Funds and Advisers Impacted by Coronavirus (COVID-19)

Morgan Lewis on

The US Securities and Exchange Commission on March 13 announced temporary regulatory relief for registered investment advisers and exempt reporting advisers as well as for registered funds, registered unit investment trusts,...more

Troutman Pepper Locke

SEC Grants Relief to Funds and Advisers Related to COVID-19 Outbreak

Troutman Pepper Locke on

As a result of the current and potential effects of COVID-19, the SEC has relaxed certain requirements of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and rules under the Acts....more

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