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Excerpt from Practical Guidance

Expert Analysis

Understanding The Investment Adviser Regulatory Scheme

Law360, New York ( July 31, 2014, 1:23 PM EDT) -- All investment advisers, including those not registered federally with the U.S. Securities and Exchange Commission, are subject to regulation under the Investment Advisers Act of 1940, as amended (the "Advisers Act"). The majority of the Advisers Act applies only to firms registered (or required to be registered) as an investment adviser with the SEC. Nonetheless, important portions of the Advisers Act apply equally to all investments advisers or, in some cases, to a subset of unregistered advisers referred to as exempt reporting advisers (as defined below)....

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