Resources

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. Feel free to let us know if you have any questions.

• Fund Basics
  • Glossary
  • What is a fund?
  • What are the different types of funds?
  • Who regulates funds?
  • What are the primary statutes and regulations applicable to funds and their managers?
• Registration Requirements
  • Who is subject to a registration requirement?
  • Funds
  • Securities advisers
  • Commodity futures advisers
  • Employees
  • Broker-dealers
  • Securities offerings
• Ongoing Compliance
  • Broker-dealer compliance
  • Fund compliance
  • Investment adviser compliance
• Investments by Funds
  • Acquiring more than 5% of a publicly traded company
  • Securities transactions by officers, directors and 10%+ shareholders
  • Acquiring $100 million or more in publicly traded equity securities
  • Investments in other investment companies
• Marketing
  • Marketing restrictions – private funds
  • Who may invest in my fund?
• China Investment Funds
  • Introduction to RMB funds
  • QFII and QDII requirements
• Who May Invest
  • Are you charging a performance fee?
  • Are you offering your fund’s securities in a private offering?
  • Is the fund relying on Section 3(c)(1) to avoid registration as an investment company?
  • Is the fund relying on Section 3(c)(7) to avoid registration as an investment company? – Avoiding registration under the 1934 Act
  • Is the fund relying on Section 3(c)(7) to avoid registration as an investment company? – Preserving the exemption