Search for: "Registration Private (3)"
Results 181 - 200
of 4,723
Sorted by Relevance
|
Sort by Date
23 Mar 2021, 2:56 pm
The second is the registration requirement imposed on private funds and other Dodd-Frank requirement. [read post]
9 Feb 2012, 5:48 pm
The Division of Investment Management advised that a 2005 SEC staff no-action letter on the registration of a special purpose vehicle created by a registered investment adviser continues to represent the staff’s position after the Dodd-Frank Act repeal of the exemption previously provided to private fund advisers by Section 203(b)(3) of the Investment Advisers Act. [read post]
29 Jan 2009, 2:44 pm
Hedge Fund Registration Requirements Definition of an Investment Company: Hedge Funds typically avoid regulatory requirements by claiming the exceptions to the definition of an investment company contained in §3(c)(1) or §3(c)(7) of the ICA. [read post]
6 May 2013, 5:00 am
Private Equity Real Estate just released its ranking of the top 50 real estate private equity fund managers. [read post]
11 Jul 2010, 4:50 pm
But hot on their heels were Simpson Thacher and Cleary Gottlieb at 3-4, fueled in no small part by their dominance in private equity. [read post]
19 Oct 2010, 11:04 pm
Preliminary Program 9h00–9h30: Arrival and Registration 9h30–9h45: Welcome and Introduction: Erika de Wet (Amsterdam/ Pretoria) 9h:45–11h.15: The ECHR and the Public Policy Exception in Private International Law Chair: Jannet Pontier (Amsterdam) Speaker: Ioanna Thoma (Athens) (25min) Discussants: James Fawcett (Nottingham); Aukje van Hoek (Amsterdam) (20min each) 11h:45-13h15: Art. 1 ECHR and Private International Law Chair: André Nollkaemper… [read post]
2 May 2007, 4:12 pm
Only Australian telephone numbers used primarily for private and domestic purposes can be listed on the Do Not Call Register. [read post]
11 Sep 2017, 11:33 pm
In particular, the Commerce Clause (Article I, Section 8, Clause 3), granting Congress the power: “To regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes. [read post]
27 Apr 2012, 8:47 am
Customs and Border Protection Agency, and private company registrations. [read post]
30 Nov 2010, 7:21 am
3. [read post]
16 Sep 2014, 5:00 am
Private fund sponsors who relied on a CPO registration exemption under CFTC Regulation 4.13(a)(3) or exemptive relief from certain registered CPO obligations under CFTC Regulation 4.7(b) were prohibited from engaging in general advertising or general solicitation under Rule 506(c). [read post]
21 Jan 2015, 9:26 am
Fla. 2011) (proposing a non-exhaustive six-factor test for registration). [read post]
24 Aug 2020, 4:00 am
According to the FINRA findings, he engaged in the sale of promissory notes of more than $3 million to 18 different investors without the proper registration. [read post]
16 Feb 2012, 11:28 am
Brooks, M.D., J.D., FCLM 3:15 – 3:30 pm BREAK 3:30 – 4:30 pm A View from the Bench: Ethical Issues in Legal Writing and Advocacy Before the Court in an Electronic World Moderator: Hon. [read post]
3 Aug 2009, 10:39 am
The Obama Administration is proposing legislation that will remove the exemptions from registration enjoyed by managers of private investment partnerships and hedge funds. [read post]
12 Dec 2011, 6:49 am
As a result, private offerings are not required to be sold by means of a registration statement, and are not subject to the disclosure requirements applicable to public offerings. [read post]
7 Sep 2018, 10:50 am
A missing registration is a red flag. [read post]
9 Feb 2012, 2:00 am
Section 3 discusses proposed changes to commodity pool operator registration and compliance requirements, and Sections 4 and 5 focus on Dodd-Frank Act changes to existing securities laws and regulations, including with respect to large trader reporting and investment advisers. [read post]
1 Mar 2012, 1:48 am
The firm must provide advice solely to one or more “qualifying private funds,” which includes Section 3(c)(1), Section 3(c)(7) funds and certain other funds that fall under an Investment Company Act of 1940 exception. [read post]
22 Sep 2010, 11:46 am
The class is run through the AIA Northern Virginia as a 3-hour workshop on sustainable projects, examining timely topics including cost/benefit issues, public and private regulations and markets, and potential legal risks. [read post]
