A Comprehensive Guide to Title IV of the Dodd-Frank Act and the Rules Promulgated Thereunder
University of California Davis Business Law Journal, Vol. 12 p. 125, Spring 2012
100 Pages Posted: 11 Aug 2013 Last revised: 3 Sep 2016
Date Written: March 1, 2012
The focus of this article is to provide a summary of Title IV of the Dodd-Frank Act as well as the related implementing rules that the SEC has promulgated thereunder in order to give the reader an understanding of Title IV as it has been implemented by the SEC. This article considers only the impact of Title IV and related SEC rules on investment advisers. This article is meant to be a definitive analysis of Title IV and its implementing rules.
Keywords: Dodd-Frank Act, Advisers Act, Private Equity
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