About the Hedge Fund State Regulation Guide

Regulation of investment companies and hedge funds are not handled by state securities laws, however states may indirectly regulate the funds through regulating the sale of interests in hedge funds.

If a hedge fund chooses not to register with the SEC they may be exempt from state regulatory requirements.

In this guide we hope to outline the hedge fund regulations in each state and provide as much information and as many online resources as possible for each state.

New York State: Hedge Fund Regulations

Out Of State Regulations:
N.Y. Comp. Codes R. & Regs. tit. 13, §11.4(c): "All investment advisers with more than five clients in the State of New York must make application to register as an investment adviser."

In State Regulations:
Yes, exempt, base don examiner reference to N.Y. Comp. Codes R. & Regs. tit. 13, §11.4(c).

Comments on this regulation:
Exemption implied in stated registration requirements. Still may be subject to other rules applying to investment advisers. See N.Y. Comp. Codes R. & Regs. tit. 13, §11.4(c) for requirements..

State Regulations Website:
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