entity · derived
Private adviser exemption
Derived node: assembled mechanically from the claims carrying private-adviser-exemption. A roster, not an adjudicated definition.
Every claim under this term
- 2150377-003 : The client counting safe harbor, which let an adviser count a pooled entity rather than each investor as a single client, allowed advisers to manage large amounts of securities indirectly for several
- 2150377-005 : Losing the private adviser exemption imposed a bundle of obligations, disclosure duties and code of ethics requirements on top of inspections and record keeping, and the direct consequence was signifi