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Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account

SEC · final-rule · Published 1998-07-21 · Effective 1998-08-20 · 63 FR 39022

Document

Document number
98-19373
Federal Register citation
63 FR 39022
CFR reference
17 CFR 275
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1998-07-21
Effective date
1998-08-20
Docket
Release No. IA-1731, File No. S7-29-97

Abstract

The Commission is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge certain clients performance or incentive fees. The amendments modify the rule's criteria for clients eligible to enter into a contract under which a performance fee is charged and eliminate provisions specifying required contract terms and disclosures. The amendments provide investment advisers greater flexibility in structuring performance fee arrangements with clients who are financially sophisticated or have the resources to obtain sophisticated financial advice regarding the terms of these arrangements.

Source

Authoritative
Federal Register document
Machine
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