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16 Feb 2015, 7:11 am
On February 3, 2015, H.R. 686, a bill creating a registration exemption for M&A Brokers, was introduced in the House of Representatives and referred to the Committee on Financial Services. [read post]
27 Jul 2017, 8:31 am
The registration problem was just the tip of the iceberg. [read post]
5 Oct 2009, 11:42 am
Kanjorski (D-PA) proposed an amendment to the Obama administration’s Private Fund Investment Advisers Registration Act of 2009 (”PFIARA”). [read post]
19 Jul 2012, 2:00 am
These amendments will create a new framework for exempting advisers to private pooled investment vehicles from the investment adviser registration requirement under the Corporate Securities Law of 1968. [read post]
15 Oct 2012, 6:09 am
The second is the repeal of a popular exemption from registration. [read post]
15 Nov 2016, 4:53 am
Under Section 5(c) of the Securities Act, it’s unlawful to make solicitations or offers for the sale of securities prior to the filing of a registration statement. [read post]
19 Dec 2014, 9:22 pm
The Seminar is open to the public, and there is no registration fee. [read post]
2 May 2012, 5:00 am
I’m attending Private Equity International’s Private Fund Compliance Forum. [read post]
3 Nov 2020, 6:16 am
Securities and Exchange Commission, on Tuesday, November 3, 2020 Editor's Note: Allison Herren Lee is a Commissioner at the U.S. [read post]
11 May 2018, 11:53 pm
The event is free but registration is required (office@igkk.org). [read post]
5 Jan 2021, 2:14 pm
Registration is required but free; space is limited. [read post]
15 Aug 2017, 10:13 am
Any queries, as well as registration requests, may be directed to asistencia@amedip.org. [read post]
16 Feb 2016, 7:00 am
Additional information and the registration form is available at the conference website at www.healthcareprivateequity.com. [read post]
5 Feb 2016, 7:14 am
Additional information and the registration form is available at our conference website at www.healthcareprivateequity.com. [read post]
27 Oct 2011, 10:15 pm
Only a fool can think lawmakers can force registrants to reveal their past to private citizens. [read post]
29 Dec 2010, 7:59 pm
" That limited subset consists of seven items on Form ADV (Items 1, 2, 3, 6, 7, 10, 11), and the disclosure filed by exempt advisers would be publicly available. [read post]
28 Jul 2016, 7:00 am
In some respects, the Blackstreet matter is a continuation of a considerably long line of precedent whereby private equity funds or other hedge funds whose advisers charge transaction-based fees but are not registered as broker-dealers, are sanctioned for violating the registration requirements of the Exchange Act. [read post]
8 Jul 2010, 5:00 am
With the financial reform bill likely to pass any day, the 203(b) exemption will evaporate for many private investment funds. [read post]
16 Feb 2012, 5:39 am
The California Department of Corporations has extended the comment period for a proposed rule to amend Rule 260.204.9 of Title 10 of the California Code of Regulations, which exempts private advisers from registration under certain circumstances. [read post]
21 May 2015, 3:56 pm
This type of investment is also exempt from registration with the Securities and Exchange Commission, and therefore they lack the same regulatory oversight as more traditional investments. [read post]
