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19 Jul 2011, 2:00 am
Here is an excerpt: As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act (”Dodd-Frank”), [1] many investment advisers – including hedge fund and private equity fund advisers previously exempt from registration – soon will be required to register with the Securities and Exchange Commission (“SEC”). [2] Since the enactment of Dodd-Frank last summer, firms have been preparing for registration and considering… [read post]
29 Nov 2007, 12:15 pm
t apply for registration, which you don�?? [read post]
5 Mar 2020, 2:03 am
The order also lists the information requirements for the Form 8-K or 6-K. [read post]
6 Aug 2021, 6:00 am
The SPAC filed with the SEC a registration statement with respect to the merger in November 2020. [read post]
21 Feb 2022, 11:23 am
Registration is open here.IELR 5.1 pre-publication event: EULAs: Friends or Foes? [read post]
5 Jun 2015, 8:47 am
You are familiar by now with Rule 506 that provides an exemption from registration for securities issued in a private placement. [read post]
8 Mar 2010, 8:24 am
Vulnerability, Resilience, and the State A Feminism and Legal Theory Project Workshop—March 19 – 20, 2010 575 Gambrell Hall Emory University School of Law 1301 Clifton Road, Atlanta GA 30322 Friday, March 19, 2010 4:00 pm – 6:30 pm – Vulnerability and Resilience **Barbara Woodhouse – Emory University; An Ecogenerist Model of Vulnerability, Resilience and the Responsive State **Linda McClain – Boston University; Toward a Feminist “Social… [read post]
2 Oct 2014, 3:44 pm
You may want to read: Part 1 – EB-5 offerings do not fit standard SEC registration requirements and Part 2 – Securities broker-dealer registration requirements and hiring U.S. and Non-U.S. brokers. [read post]
29 Jun 2018, 10:10 am
In general a platform designed for trading of private placements (in a kind of closed system for accredited investors) would likely take anywhere from 6-12 months to become fully licensed after submitting the Form NMA. [read post]
6 Apr 2022, 6:12 am
Lu, and Ram Sachs, Wachtell, Lipton, Rosen & Katz, on Wednesday, April 6, 2022 Editor's Note: David M. [read post]
23 Sep 2010, 2:26 am
Private Data, D2007-1903 (WIPO February 2, 2008), for example, the Panel found that the Respondent had “abusive intent. [read post]
6 Apr 2022, 6:12 am
Lu, and Ram Sachs, Wachtell, Lipton, Rosen & Katz, on Wednesday, April 6, 2022 Editor's Note: David M. [read post]
12 Mar 2019, 1:20 pm
So, while the conduct-and effects test brought back by the Dodd-Frank Act will be used in governmental actions, as stated here, private actions under the antifraud provisions will continue to be governed by the Morrison test. [read post]
13 Feb 2009, 8:19 pm
It creates, amends, or revives several grant programs designed to reinforce private, state, local, tribal and territorial prevention; law enforcement; and treatment efforts in the case of crimes committed against children. [read post]
18 Feb 2023, 11:20 am
Unrelated Business Income Tax: Judge rules IRS owes $11.5 million to Mayo Clinic (re: educational) OCC Memo: IRC 501(c)(6)1 Organizations Providing Pension and Health Benefits Iowa church wages 4-year fight with IRS over hallucinogenic-drug ceremonies (Des Moines Register) Query: Would a charity’s sale of carbon credits generate UBTI if the charity’s charitable purpose is related to climate change prevention? [read post]
14 Jul 2008, 11:24 am
As usual, registration is free, so submit your RSVP here. [read post]
27 Oct 2012, 3:03 pm
, Institutional Investor Securities Blog, July 6, 2012 [read post]
4 Apr 2016, 7:43 am
Funding portals, while subject to the SEC's authority, are exempt from registration as a broker-dealer.The problem. [read post]
20 Jan 2013, 9:31 pm
Papers are invited in any field of public or private international law which address some aspect of accountability (or its absence). [read post]
28 Nov 2016, 3:24 pm
Early bird registration deadline is Tuesday November 29, so enroll by then for savings. [read post]
