Regulation of Investment Advisers, 2008 ed. (Securities Handbook Series)

Thomas P. Lemke, Gerald T. Lins

Book - softbound
Copyright: 2008

Last Updated: 5/20/2008

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Get accurate, up-to-date guidance on the registration, regulation, and compliance requirements imposed on advisers by the Investment Advisers Act of 1940. Written by practitioners for practitioners, it helps you deal with everyday issues involving performance advertising, trade allocations, conflicts of interest, SEC inspections and enforcement, mergers and acquisitions of investment advisers.

Features

Covers SEC inspections and enforcement
Discusses conflicts of interest
Provides thorough treatment of mergers and acquisitions of investment advisers
Reviews trade allocations
Summarizes principles of performance advertising

More Information

Table of Contents (PDF) »

Table of Authorities (PDF) »

Index (PDF) »

Summary Of Contents

Summary of Contents (PDF) »

Chapter
1. Registration of Investment Advisers
2. Regulation and Compliance for Investment Advisers
3. Other Reporting Requirements and Investment Restrictions Applicable to Investment Advisers
Appendices
- A1. Advisers Act—Statute App.
- A2. Rules Under the Investment Advisers Act (current through March 26, 2004; 69 FR 16151)
- A3. 1934 Act, Rule 15a-6
- A4. CEA Sections 1a(6) and 6m; CFTC Rules 4.5, 4.6, and 4.14
- A5. ERISA Prohibited Transaction Class Exemption 77-4 (March 31, 1977) (Use of Affiliated Mutual Funds)
- A6. ERISA Prohibited Transaction Class Exemption 86-128 (November 5, 1986) (Use of Affiliated Broker-Dealers)
- A7. 1934 Act, Section 28(e)
- A8. 1934 Act, Sections 13(d), 13(f), 13(g) and 16
- A9. Rule 3a-4 under the Company Act
- B1. Investment Advisers Act Release No. 58, 1951 WL 1363 (Apr. 10, 1951) (Hedge Clauses)
- B2. Accounting Series Release No. 103, Investment Advisers Act Release No. 201, 1966 WL 84079 (May 26, 1966) (Accountant's Examination)
- B3. Investment Company Act Release No. 7113 and Investment Advisers Act Release No. 315, 1972 WL 121274 (April 6, 1972) (Fulcrum Fees)
- B4. Investment Advisers Act Release No. 721, 20 S.E.C. Docket 89, 1980 WL 26926 (May 16, 1980) (Contingent Fees)
- B5. Investment Advisers Act Release No. 1092, 39 S.E.C. Docket 494, 1987 WL 112702 (Oct. 8, 1987)
- B6. In re Arleen W. Hughes, Exchange Act Release No. 4048, 27 S.E.C. 629, 1948 WL 29537 (Feb. 18, 1948) (Fiduciary Duty)
- B7. Exchange Act Release No. 23170, 35 S.E.C. Docket 703, 1986 WL 630442 (Apr. 23, 1986), 51 FR 16,004 (SEC Soft Dollar Guidance)
- B8. Restrictions on the Purchase and Sale of Initial Equity Public Offerings
- B8-1. IPO Certification
- B9. Interpretation of Section 206(3) of the Investment Advisers Act of 1940
- B10. Error Correction by Investment Advisers: Industry and Regulatory Guidance
- B11. SEC Release 54165 (July 18, 2006)
- C1. Uniao de Bancos de Brasileiros S.A., SEC No-Action Letter, 1992 WL 183054, Fed. Sec. L. Rep. ¶ 76,425 (July 28, 1992) (Foreign Advisers, Services to U.S. Clients)
- C2. BDN Advisers, Inc. (Aug. 29, 1986) (ERISA Performance Fees)
- C3. Batterymarch Financial Management (Aug. 29, 1986) (ERISA Performance Fees)
- C4. Alliance Capital Management (Sept. 25, 1989) (ERISA Performance Fees)
- C5. Munder Capital Management, SEC No-Action Letter, 1996 WL 282742 (May 17, 1996) (Performance Advertising)
- C6. Clover Capital Management, Inc., 1986 WL 67379, Fed. Sec. L. Rep. ¶ 78,378 (Oct. 28, 1986) (Performance Advertising)
- C7. Investment Company Institute, SEC No-Action Letter, 1987 WL 108068 (Aug. 24, 1987); Investment Company Institute, SEC No-Action Letter, 1988 WL 235022 (September 23, 1988) (One-on-One Presentations)
- C8. Securities Industry Association, SEC No-Action Letter, 1989 WL 246550 (Nov. 27, 1989) (Performance Advertising)
- C9. J.P. Morgan Investment Management, Inc., SEC No-Action Letter, 1996 WL 282573 (May 7, 1996) (Performance Advertising)
- C10. ERISA Technical Bulletin 86-1 (May 22, 1986) (DOL Soft Dollar Statement)
- C11. Charles Lerner, Esquire, SEC No-Action Letter, 1988 WL 235186, Fed. Sec. L. Rep. ¶ 78,871 (Oct. 25, 1988); Section 28(e) of the Securities Exchange Act of 1934, SEC No-Action Letter, 1990 WL 304860, Fed. Sec. L. Rep. ¶ 79,499 (July 25, 1990); Hoenig & Co., Inc., SEC No-Action Letter, 1990 WL 287014, Fed. Sec. L. Rep. ¶ 79,639 (Oct. 15, 1990) (Soft Dollars)
- C12. Department of Labor Interpretive Bulletin 94-2 (July 29, 1994) (ERISA Proxy Voting)
- C13. SMC Capital, Inc., SEC No-Action Letter, 1995 WL 529274, Fed. Sec. L. Rep. ¶ 77,049 (Sept. 5, 1995) (Allocation and Aggregation Procedures)
- C14. Association for Investment Management and Research, SEC No-Action Letter, 1996 WL 729385 (Dec. 18, 1996)
- C15. Pretzel & Stouçer, SEC No-Action Letter, 1995 WL 737153 (Dec. 1, 1995)
- C16. Letter from the SEC Office of Compliance Inspections and Examinations (May 1, 2000)
- C17. Pension and Welfare Benefits Administration (P.W.B.A.), U.S. Department of Labor (March 21, 1996)
- C18. SEC No-Action Letter—Investment Counsel Association of America
- D1. History of the Advisers Act
- D2. House Report on Advisers Act
- D3. Advisers Act Study
- E1. Form ADV-W (Withdrawal Form)
- E2. Schedule 13D
- E3. Schedule 13G
- E4. Form 13F
- E5. Form 3
- E6. Form 4
- E7. Form 5
- E8. Division of Investment Management: Frequently Asked Questions About Form 13F
- F1. SEC v. Capital Gains Research Bureau, 375 U.S. 18 (1963) (Fiduciary Duty of Adviser)
- F2. DOL/Treasury Statement on Pension Investments (Jan. 31, 1989)
- F3. Transamerica Mortgage Advisors, Inc. v. Lewis, 444 U.S. 11 (1979) (Private Right of Action)
- F4. SEC No-Action Letter—Investment Advisers that Remain Registered
- F5. Sample SEC Deficiency Letters
- F6. SEC Inspection Manual (1980)
- F7. Sample Investment Representation Letter
- F8. Form of "Big Boy" Letter
- F9. Investment Adviser Examination Request
- F10. SEC No-Action Letter—ABA Subcommittee on Private Investment Entities
- F11. Investment Advisors Act of 1940—Sections 206(1) and (2)
- F12. CCOutreach National Seminar—Forensic Measures for Funds
Table of Laws and Rules
Table of Additional Authorities
Table of Cases
Index

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