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Commercial Finance Publications

Legal Updates
  • SEC Adopts Rules Implementing Family Office Exemption from Registration
    June 22, 2011

    On June 22, 2011, the Securities and Exchange Commission adopted rules under the Investment Advisers Act of 1940 (“Advisers Act”) implementing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) with respect to an exclusion for family offices from the definition of an investment adviser under the Advisers Act.