Guidance on Registration Requirement for Publishers of ...
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May 8, 2013 · Oftentimes the question arises as to whether or not the publisher of an investment newsletter is required to register as an investment adviser.
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What are the exemptions from registering as an investment advisor?
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(The exemption provided in Rule 205-3 for certain performance fee arrangements, however, is available to all advisers, including state-registered advisers); and.
Jun 21, 2022 · The Advisers Act generally defines an “investment adviser” as any person who, for compensation, engages in the business of advising others, ...
An adviser with a principal office and place of business outside the United States excludes non-U.S. clients in this determination. 3. A “private fund” is any ...
Apr 22, 2024 · The Internet Adviser Exemption currently permits an investment adviser to register with the SEC if it: Provides investment advice “to all of its ...
Jun 22, 2022 · Should we exempt providers that meet the definition of investment adviser, and are required to register with the SEC under the Advisers Act, ...
The CFTC recently expanded the scope of the publishers' exemption under the Commodity Exchange Act to include a commodity trading adviser that does not direct ...
Apr 22, 2024 · The Final Rule seeks to modernize the Internet Investor Exemption and takes into account the rapid evolution of technology and the investment ...
Sep 15, 2008 · A firm or individual must satisfy all three criteria to be deemed an investment adviser. It is important to note that the SEC defines these ...
Jul 10, 2006 · The Commission found that Weiss Research failed to meet the “publishers' exemption ... “investment adviser” as defined under ... falling within the ...