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CALIFORNIA CORPORATE & SECURITIES LAW

Real Estate Fund Advisers And Penumbra Registration

Last August, the Securities and Exchange Commission adopted amendments to Form ADV, the form used by investment advisers to register with the SEC and with the states.  Included in these amendments were changes to allow multiple private fund adviser entities operating a single advisory business to file one Form ADV.  These changes formalized prior staff guidance…

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New Form ADV Part 2 Has Now Arrived In California

 As a reminder, the California Department of Corporations this week began allowing investment adviser applicants and licensed investment advisers filing amendments to their Part II of Form ADV to use either the current Part II or the new Part 2 to Form ADV.  For more on this topic, see my earlier post.

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DOC To Mandate Use of New Part 2 to Form ADV

Yesterday, the Department of Corporations issued this notice to investment advisers registered with the it.  The notice advises that the Department is adopting the new Part 2 to Form ADV effective October 12, 2010.  The Department has announced the following compliance dates: As of January 1, 2011 all new investment adviser applicants will have to file, through the…

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