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All About Hedge Funds, Fully Revised Second Edition, 2nd Edition by Ezra Zask

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CHAPTER 2Regulation of Hedge Funds

Four main laws govern the investment industry: the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. As the names imply, the Securities Act of 1933 governs the issuance and trading of securities while the two 1940s acts govern investment firms and investment advisers. The most recent law, the Dodd-Frank Act, has changed some fundamental aspects of these laws but kept many provisions intact.

These laws exempt certain firms—including hedge funds and private equity firms—from certain provisions, notably those relating to registration and supervision by the U.S. Securities and Exchange Commission (SEC). However, hedge funds ...

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