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The Dodd-Frank Act: Be the First to Know Its Impact on Private Funds

To register, please use the button above or contact Jen Olson at or 212.407.4183.

Loeb & Loeb LLP and The Regulatory Fundamentals Group LLC present a program for our friends in Los Angeles titled "The Dodd-Frank Act: Be the First to Know Its Impact on Private Funds."

Wednesday, July 27, 2011
8:00-8:30 AM Breakfast and registration
8:30-10:30 AM Program and discussion

On June 22, 2011, the SEC approved a series of rules related to the implementation of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act which will impact both advisors and private funds. Specifically, the new rules include a $100 million statutory threshold for SEC registration by investment advisors to non-fund clients; require advisors to hedge funds and private equity funds managing more than $150 million in the US to register with the SEC; and provide an exemption from registration for advisors to venture capital funds, private funds managing less than $150 million in the US, and certain foreign private advisors. The new rules also create certain recordkeeping and reporting requirements.

In response, Loeb & Loeb has partnered with The Regulatory Fundamentals Group LLC (RFG) to discuss the implications of and guide first-time registrants to compliance with the new regulations. These rules will go into effect July 21, 2011, but funds and their advisors will not be required to register or claim an exemption from registration until March 30, 2012. We invite you to join us for a program that will help you navigate unfamiliar aspects of the rules and implement changes to your business ahead of this deadline to remain compliant.

This program will:

  • Define and interpret key points of this final ruling
  • Highlight concerns and uncertainties raised by the final rules
  • Outline the SEC registration and exemption process
  • Compare and contrast how the new rules will impact your existing business


This program will be presented by: