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Do I Need to Register? And Other Tips for Newly Registered Investment Advisers [VIDEO]

Do I need to be registered as an investment adviser under the Dodd-Frank Act Amendments to Investment Advisers Act? Foley Partner Stuart Fross highlights some thoughts for advisers on that question and tips for those who answer yes.

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About this Author

Stuart E. Fross, Foley Lardner, Securities lawyer, Finance Attorney
Partner

Stuart Fross is a partner and business lawyer with Foley & Lardner LLP where he concentrates his practice on securities laws and regulations, as part of the Private Equity & Venture Capital, Transactional & Securities and International Practices.

Mr. Fross’ main focus is investment managers and pooled investment vehicles, including U.S. registered open-end, closed end and exchange traded funds, bank collective investment funds (with an emphasis a stable value funds), UCITS funds, as well as private funds, organized in the US and...

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