PRIVATE CAPITAL AND INVESTMENT GROUP ALERT: SEC to Consider Extending Deadline for Investment Adviser Registration and Compliance Under the Dodd-Frank Act

    View Authors 11 April 2011
    In a letter to the North American Securities Administrators Association, Inc. dated April 8, 2011, Robert E. Plaze, Associate Director of the U.S. Securities and Exchange Commission (SEC), announced that the SEC is considering providing investment advisers required to register with the SEC as a result of certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) with additional time to register and comply with the Investment Advisers Act of 1940 (Advisers Act).