Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Wednesday, June 22, 2011

SEC Adopts New "Family Offices" Rule under Advisers Act

The SEC adopted a rule to define “family offices” that will be excluded from the definition of an investment adviser under the Investment Advisers Act of 1940 (“Advisers Act”) and thus will not be subject to regulation under the Advisers Act. The scope of the rule 202(a)(11)(G)-1 is generally consistent with the conditions of exemptive orders that have been issued to family offices.

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