U.S. Regulation of Hedge FundsThis authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index. |
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Contents
Table of Contents | 1 |
Investment Adviser Registration and Regulation | 9 |
Chapter | 13 |
Exclusions from Investment Company Act Requirements | 61 |
Chapter 4 | 87 |
Private Offerings | 111 |
Disclosure Obligations | 143 |
Chapter 7 | 183 |
Chapter 12 | 267 |
Trading Activities and Reporting | 273 |
Chapter 14 | 317 |
Fees and Special Profit Allocations | 327 |
Chapter 16 | 331 |
Tax Considerations | 339 |
Chapter 17 | 379 |
389 | |
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Common terms and phrases
1956 Uniform Securities 2002 Uniform Securities accredited investors advertisement Advisers Act Release Advisers Act Rule advisory affiliate allocation apply assets beneficial owner Blue Sky Law broker broker-dealer C.ER C.FR CEA Reg CEA Rule CFTC client commodity interests commodity pool Company Act Rule comply Corp corporation CPO or CTA disclose disclosure document employee ERISA Exchange Act Rule Exchange Act section Form ADV Form N-1A Item income infra Investing Entity investment adviser's investment company issuer limited liability company limited partner limited partnership NASD non-U.S. investors offerees offshore hedge fund participants percent performance fee pool private offering Qualified Purchaser registration requirements Regulation D Rule SEC No-Action Letter SEC staff SEC-registered investment adviser Securities Act section selling shares short sale Sky Law Rptr solicitation statement supra Tax Code section trading U.S. hedge fund U.S. person Uniform Securities Act