Private Fund Adviser Regulation Under The Dodd-Frank Act
Recent Buzzes - VC Experts, Inc.
DECEMBER 21, 2010
One state that many private fund advisers that are not eligible to register with the SEC will find themselves needing to register with is Connecticut, which requires registration of investment advisers who either have a place of business in Connecticut (regardless of the number of Connecticut clients), or have more than five Connecticut clients (regardless of the advisers' geographic location). Regulation Of Participants In The OTC.