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Topic: Status and Exemptions - Advisers

Adviser Finds That Exemption Does Not Protect Against Enforcement

April 8, 2016
"Exempt" doesnít mean exempt from anti-fraud regulations or the SECís watchful eye. A venture capital fund adviser found this out the hard way when it reached a settlement with the agency over allegations that it misappropriated more than $18 million in investor funds.

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Waivers: Aguilar Calls for Conditional Waivers, More Transparency

September 18, 2015
SEC commissioner Luis Aguilar wants the SEC to change how the Commission staff handles requests for waivers from regulatory disqualifications. More comprehensive and detailed reporting of staff waiver action, creation of a public waiver website, and the increased use of conditional waivers are among his suggestions.

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Family Office FAQs Released

February 7, 2012


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What Can Registering Advisers Expect When They Arrive At The SEC?

March 2, 2011


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What They’re Saying About The Proposed Registration Exemptions For Advisers To Venture Capital Funds and Certain Other Private Funds

February 24, 2011


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What They're Saying About Family Offices

December 22, 2010


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SEC Commissioner Aguilar Weighs in on IA-BD Reform

May 15, 2009


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Advisers React to SEC Commissioner’s SRO Endorsement

May 8, 2009


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SEC Commissioner Lays Out Framework for IA-BD Reform

May 8, 2009


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Groups Urge Specialized Organization for Financial Planners

May 1, 2009


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Hearing Suggests that Madoff Fraud May Lead to Overhaul of Adviser Regulation and Examinations

January 5, 2009


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Court Says Insurance Rep Might be Adviser

November 28, 2008


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SEC Chairman Urges Congress to Tackle IA / BD Reform

November 7, 2008


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Bailout Bill Signed into Law. What’s Next?

October 3, 2008


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