entity · derived
Registration
Derived node: assembled mechanically from the claims carrying registration. A roster, not an adjudicated definition.
Every claim under this term
- 2150377-001 : Freedom from supervision and disclosure obligations was functional rather than incidental for hedge funds: it enabled successful fund launches, helped generate higher returns, and attracted investors,
- 2150377-002 : The immediate deregistration of hedge fund advisers following Goldstein v. SEC is revealed-preference evidence of the industry's opposition to registration and disclosure requirements, not merely a te
- 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
- 2150377-006 : The SEC's 2004 attempt to reach hedge fund advisers failed as a matter of administrative law: in July 2006 the D.C. Circuit vacated the hedge fund rule in Goldstein v. SEC as an instance of arbitrary
- 2150377-008 : Because Title IV's registration exemptions are broad enough to threaten the rule they qualify, the Dodd-Frank Act deliberately gives the SEC rulemaking authority to keep the exemptions from swallowing
- 2150377-012 : This Article reports the first survey study of hedge fund advisers conducted after the SEC's registration effective date, drawing on a population of 1267 private fund advisers who registered before Ma
- 2150377-018 : Managers who avoided registration by restructuring, for example by changing organizational form or assets under management, are practically and administratively very difficult to identify, so the popu
- 2150377-022 : A majority of surveyed advisers, 72.09%, do not plan any strategic response to the Dodd-Frank Act registration and reporting requirements.
- 2337268-007 : A broker dealer who holds himself or herself out as a financial planner does not thereby trigger registration obligations under the IAA.
- 2337268-011 : Mid-sized investment advisers, those with between $25 and $100 million AUM, fall to state authorities rather than the SEC, though they may still have to register with the state agency where their prin
- 2337268-013 : Advisers with more than $150 million in regulatory assets under management are defined as large private fund advisers and must register with the SEC.
- 2337268-014 : Registering large private fund advisers works by increasing the volume of data available to regulators, which in turn may help protect against systemic risk.
- 2337268-018 : Registration is the gateway that makes data collection and enhanced disclosure by hedge fund managers possible, and the Dodd-Frank Act raised disclosure requirements for registered advisers specifical
- 2337268-034 : A person who provides investment advice over the Internet escapes registration only if the advice is impersonal; personalized advice delivered through chat rooms and websites can trigger the registrat
- 2389416-001 : Title IV of the Dodd-Frank Act represents the most significant regulatory change in the history of the hedge fund industry, imposing mandatory adviser registration and disclosure for the first time si
- 2389416-003 : The hedge fund adviser registration requirement under the Dodd-Frank Act creates a discontinuity in hedge fund returns at the registration effective date of March 30, 2012.
- 2389416-007 : Hedge fund adviser registration under the Dodd-Frank Act positively affects adviser returns in March 2012, but the effect does not persist in the months after the registration effective date.
- 2389416-008 : The authors find no empirical evidence that hedge fund adviser registration under the Dodd-Frank Act negatively affects hedge fund performance, contradicting the industry's claims.
- 2389416-015 : The largest number of strategic funds moving their AUM below $150 million occurs in the April to May 2012 window, which suggests a lagged response to the March 30, 2012 registration effective date.
- 2389416-017 : In the period close to and following the registration effective date, fund size has a positive relationship with fund performance, with positive beta coefficients in March through May and July 2012.
- 2389416-020 : Under the sharp regression discontinuity design, the estimated treatment coefficient exceeds one only in March 2012, at 1.104 with a p-value of 0.015, and is close to zero and insignificant in every o
- 2389416-023 : The March 2012 discontinuity effect is not persistent and is completely absorbed in the months following the registration effective date for private fund advisers.
- 2389416-028 : Hedge fund advisers with very small AUM likely did not respond to the Dodd-Frank Act registration requirement because they anticipated that disclosure would remain voluntary for them.
- 2389416-039 : The mandatory registration requirement of the Dodd-Frank Act affects the hedge fund industry asymmetrically, with advisers whose AUM floats around the $150 million threshold showing evidence of strate
- 2389423-009 : The new regulatory framework for private funds in the United States requires hedge fund manager registration in combination with enhanced disclosure of sensitive proprietary information, a combination
- 2389423-012 : Title IV mandates hedge fund adviser registration in order to increase record keeping and disclosure, requiring advisers above the statutory AUM threshold to register as investment advisers and to dis
- 2389423-015 : Prior work shows that registration and the increased compliance requirements under the Dodd-Frank Act only marginally increase the cost structure of hedge funds.
- 2714974-006 : The SEC's 2004 hedge fund adviser registration rule failed in court because the agency lacked authority to define the term client, which the Investment Advisers Act had not otherwise defined, and the
- 2714974-013 : The cost of hedge fund manager registration under the Dodd-Frank Act brings increasing returns to scale for the industry, meaning compliance burdens fall disproportionately on smaller advisers.
- 2998097-036 : Hedge fund advisers already required to register with the SEC have an incentive to also manage mutual funds or set up retail alternative funds, because the incremental regulatory burden of doing so is
- 3117224-030 : At the time of publication there were no registered marketplaces or alternative trading systems for cryptocurrency in Canada.