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Back to blog July 29, 2009 No Comments Author: Andy Jones

Private Equity Firms to Register with the SEC

The Obama administration has recently launched the Investment Adviser Act, which requires all Private Equity firms and other similar entities managing assets greater than $30 million to register with the Securities and Exchange Commission (SEC) as of June 2009.

The measure is part of President Obama’s recovery plan, which attempts to regulate and restore public confidence in the investment markets. In an effort to implement the recovery plan and avoid threats to America’s financial apparatus, Private Equity firms, Hedge Funds firms, Venture Capital firms, and all other private capital firms will now have to register with the SEC as a Registered Investment Advisor (RIA) and provide periodic information regarding their assets under management.

Registered Investment Advisors (RIAs) will submit Form ADV to the SEC, which will specify the type of assets under management, the investment style, and the key officers of the RIA.

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