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英文字典中文字典相关资料:


  • IAPD - Investment Adviser Public Disclosure - Homepage
    Investment advisers file Form ADV to register with the SEC and or the states Some advisers that do not have to register with the SEC or the states ("Exempt Reporting Advisers") must nonetheless complete some of the questions in Form ADV for purposes of reporting to the SEC and or the states
  • Final Rule: Investment Adviser Marketing - SEC. gov
    The final rule covers marketing activities by investment advisers to clients and prospective clients as well as investors and prospective investors in private funds that those advisers manage
  • Investment Adviser Regulation - SEC. gov
    About the SEC Filings Forms Regulatory Actions Staff Interps Investor Info News Statements Litigation ALJ Information for
  • IAPD - Investment Adviser Public Disclosure - Homepage
    This file contains information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC and is available for download in XML format
  • Form ADV - General Instructions - SEC. gov
    The form enables the SEC to register investment advisers and to obtain information from and about exempt reporting advisers Every applicant for registration with the SEC as an adviser, and every exempt reporting adviser, must file the form
  • Regulation S-P - SEC. gov
    Regulation S-P Requires registered broker-dealers, investment companies, and investment advisers to "adopt written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information " See:
  • Form PF - SEC. gov
    All private fund advisers that are required to file Form PF and advise one or more hedge funds must complete Section 1c Section 1c asks for certain information regarding the hedge funds that you advise
  • Investment Adviser Marketing - SEC. gov
    The Securities and Exchange Commission (the "Commission' or the "SEC') is adopting amendments under the Investment Advisers Act of 1940 (the "Advisers Act' or the "Act') to update rules that govern investment adviser marketing
  • Final Rule: Exemptions for Advisers to Venture Capital Funds, Private . . .
    Advisers Registration Act of 2010 – the new rules define ―venture capital fund‖ and provide an exemption from registration for advisers with less than $150 million in private fund assets under management in the United States The new rules also clarify the meaning of certain terms
  • Form ADV Data - SEC. gov
    For historical data prior to January 1, 2025, Form ADV Part 1 and Form ADV-W Data Files for SEC registered investment advisers and for SEC exempt reporting advisers is available in csv format, below





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