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Is my fund required to be registered? Funds must register with the SEC as “investment companies” under the 1940 Act or qualify for an exemption from registration. Private funds…

for an exemption from registration. Registered investment companies are subject to significant ongoing reporting and other compliance obligations. Commodity Exchange Act (“CEA”) The CEA regulates the trading of commodity futures…

Securities and Exchange Commission  (“SEC”) The SEC is the federal agency responsible for overseeing the securities industry, including the registration and regulation of investment companies, investment advisers and broker-dealers….

ongoing compliance obligations. As registered investment company securities are also registered under the 1933 Act, they may be offered to the public. Registered investment companies can be further divided into…

“1933 Act” means the Securities Act of 1933. “1934 Act” means the Securities Exchange Act of 1934. “1940 Act” means the Investment Company Act of 1940. “Advisers Act” means…

The pages of this Resource Center are provided as a free tool for those interested in learning about the regulation of investment funds. Content is updated on a regular basis….

Pillsbury provides comprehensive legal services to participants in the investment funds and investment management industry. Our breadth of experience and depth of resources across practice areas allow us to guide…