Contact Information
Erik A. Bergman
ebergman@fdh.com
T: (203) 325-5026
F: (203) 325-5001
Matthew S. Eisenberg
meisenberg@fdh.com
T: (203) 325-5084
F: (203) 325-5001
Harold B. Finn III
hfinn@fdh.com
T: (203) 325-5029
F: (203) 325-5001
Investment Adviser Resource Center
FDH Compliance Series™
Recent Headlines
SEC and CFTC define “Swaps” and “Security-Based Swaps” More »
CFTC Revises Commodity Pool Operator and Commodity Trading Adviser Registration Exemptions More »
SEC Releases Responses to Frequently Asked Questions Regarding Form PF More »
SEC Provides Certain Special Purpose Vehicles with Relief from Advisers Act Registration More »
SEC Focuses on the Use of Social Media by Investment Advisers More »
SEC Modifies “Accredited Investor” Definition More »
Matthew S. Eisenberg spoke at, "The New Era of Systemic Risk Regulation - Form PF", U.S. Centric Outreach Program, Regulatory Compliance Association, December 2011. More »
SEC Proposes Rules to Implement New Investment Adviser Registration Requirements Mandated by Dodd-Frank Act More »
SEC Proposes New Whistleblower Program Under Dodd-Frank Act More »
Connecticut Adopts New Form ADV Part 2 More »
SEC Adopts New Form ADV Part 2 More »
President Obama signs Dodd-Frank Act into Law: Changes to Investment Adviser Registration Requirements More »
Compliance Tools 
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Dodd-Frank Decision Tree: Who Must Register with the SEC as an Investment Adviser?
Download PDF (40.97 K) -
Sample Timeline: SEC Registration and Development of Compliance Program
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For Private Equity Fund Managers, Hedge Fund Managers and Other New Registrants: Becoming an SEC-Registered Investment Adviser
Download PDF (34.16 K)
Other Compliance Tools
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- Worksheet and Checklist: SEC Registration and Development of Compliance Program
- Worksheet and Checklist: New Form ADV Part 2
- Personnel Questionnaire: New Form ADV Part 2B
- Compliance Manual Template
Webcasts
Client Alerts and Memos
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Investment Adviser Annual and Other Compliance Matters
Download PDF (232.77 K) -
Summary of Instruments and Treatment Under the Final SEC/CFTC Rules
Download PDF (255.32 K) -
CFTC Rescission of CPO Registration Exemption and Treatment of Certain Swaps
Download PDF (1.30 M) -
Dodd-Frank - Title IV: Investment Adviser Registration; Investment Fund Reporting
Download PDF (4.66 M) -
Marketing and Advertising Fundamentals for Private Investment Funds
Download PDF (6.44 M)
Other Resources
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SEC Press Releases
External Link: http://www.sec.gov/news/press.shtml -
SEC Final Rule Releases
External Link: http://www.sec.gov/rules/final.shtml -
SEC Proposed Rule Releases
External Link: http://www.sec.gov/rules/proposed.shtml -
Dodd-Frank Act
External Link: http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?...