Search for: "C Frank"
Results 2321 - 2340
of 3,614
Sort by Relevance
|
Sort by Date
17 Jan 2012, 1:02 am
Section 203(m) of the Adviser’s Act of 1940 (as amended by Dodd-Frank) provides such an exemption from such registration if the firm only manages private funds and has less than $150M AUM (the firm would be an exempt reporting adviser and would have to file the abbreviated Form ADV with the SEC). [read post]
12 Jan 2012, 11:55 am
Jeff Merkley (D-OR) and Carl Levin (D-MI) introduced the original Volcker Rule as an amendment to the Senate version of Dodd-Frank, but Sen. [read post]
12 Jan 2012, 11:51 am
An administrative order by the Indiana Securities Division extends a 2008 policy statement on private equity/venture capital funds and investment adviser registration by providing a post-Dodd-Frank Act IA registration exemption for the funds following that Act's elimination of the Section 203(b)(3) de minimis exemption for investment advisers.Effective January 9, 2012 and until the Division can adopt a rule for these funds, no enforcement action will be taken against any person that… [read post]
11 Jan 2012, 1:40 pm
Baker, American University Washington College of Law 3:30 – 4:45pm Panel 4: Search and Online Advertising William C. [read post]
11 Jan 2012, 11:59 am
Written by Jay Gould and Peter Chess Managed Funds Association (“MFA”) submitted a comment letter (the “Letter”) to the Securities and Exchange Commission (“SEC”) on January 6, 2012 with a rulemaking petition requesting the SEC to amend Rule 502(c) of Regulation D under the Securities Act of 1933. [read post]
11 Jan 2012, 11:39 am
As Ann Carlson and Rick Frank have previously blogged, on December 29th 2011, U.S. [read post]
11 Jan 2012, 11:37 am
In a public rulemaking petition, the Managed Funds Association asked the SEC to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales securities by general solicitation or general advertising with respect to private funds. [read post]
10 Jan 2012, 8:17 am
Law Lessons from FRANK A. [read post]
9 Jan 2012, 4:31 pm
When, on the other hand, a person’s multi-millions were visited upon him by open-market actions directed from the C-suite, he is automatically a man of the people, a horny-handed son of toil. [read post]
9 Jan 2012, 5:38 am
" Looking Forward Dodd-Frank also required the SEC to undertake a review of the definition of "accredited investor" every 4 years from the enactment of Dodd-Frank. [read post]
7 Jan 2012, 6:21 am
Special thanks go to attorneys Michael C. [read post]
6 Jan 2012, 5:01 pm
Rapp (Toledo), Regulating On-line Peer-to-Peer Lending in the Aftermath of Dodd-Frank (comments by Andrew Verstein (Yale)) (my introductory blog post) Stavros Gadinis (U.C. [read post]
6 Jan 2012, 5:39 am
.* Defendant’s belated challenge under Franks that his accomplice and companion was misidentified doesn’t even rise to the level of a Franks violation. [read post]
5 Jan 2012, 7:49 am
Admati, Peter Conti-Brown, & Paul Pfleiderer, Liability Holding Companies (presented by Peter Conti-Brown, comments by Saule Omarova) Eric Chaffee & Geoffrey C. [read post]
5 Jan 2012, 6:46 am
This is the subject of the first paper, Regulating On-line Peer-to-Peer Lending in the Aftermath of Dodd-Frank, by Eric Chaffee (Univ. of Dayton School of Law) and Geoffrey C. [read post]
4 Jan 2012, 5:31 am
The long awaited SSgt Frank Wuterich court-martial begins today at Camp Pendleton. [read post]
4 Jan 2012, 5:05 am
Section 922(c) of Dodd-Frank extended the statutory filing period for SOX retaliation complaints from 90 to 180 days. 29 CFR § 1980.103(d) now requires claims to be filed within 180 days of the date on which the employee became aware of the violation. [read post]
31 Dec 2011, 9:21 am
The Download of the Week is Constitutional Essentials by Frank I. [read post]
29 Dec 2011, 9:00 pm
They give your plan a C plus. [read post]
29 Dec 2011, 8:19 am
This investigation was led by Trooper Mark D Albright of Troop C in Jefferson County. [read post]
