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8 May 2012, 10:55 am
Private funds making use of exemptions from registration under the Advisers Act and/or the Investment Company Act must continue to comply with the restrictions set forth in such exemptions. [read post]
31 May 2018, 6:21 pm
Nonetheless, in order to have a reasonable assurance that a private fund adviser is exempt from investment adviser registration, the offering materials of the fund should clearly and unambiguously state that the strategy being pursued is a venture capital strategy. [read post]
20 May 2024, 9:05 pm
As stated in Blue Chip Stamps: “A private damages action under Rule 10b-5 is confined to actual purchasers or sellers of securities. [read post]
6 Jun 2021, 9:20 am
Pix Credit HERE; video may be accessed HERE Now well over a generation ago, Michel Foucault famously noted that the regulation was about virtually anything but intimate relations. [read post]
18 Dec 2020, 1:42 pm
The ACLU also supports federally mandated voting modernization policies that would require online registration, same-day registration, and automatic voter registration. [read post]
26 Jan 2016, 9:16 pm
Registration is here. [read post]
11 Sep 2012, 9:35 am
For example, the racial gap in voter registration and turnout is lower in the States originally covered by § 5 than it is nationwide. [read post]
19 Aug 2012, 4:07 pm
This means that a company cannot utilize equity compensation without either registering the securities that are issued to service providers or finding an exemption from registration. [read post]
House Panel Holds Hearings on Bills to Reduce Impediments to Capital Formation; Possible JOBS Act II
29 Oct 2013, 7:15 am
This legislation would establish a simplified and streamlined registration process for broker-dealers engaged solely in the business of effecting the transfer or sale of privately held companies. [read post]
31 Mar 2020, 1:50 pm
The Size of the Private Fund Market The SEC’s Division of Investment Management, Analytics Office, tracks and reports data on private funds based on registrations with the SEC. [read post]
6 Mar 2013, 7:22 pm
Brogger eventually resolved this matter by instituting appropriate broker dealer registration and paying a fine. [read post]
27 Apr 2022, 9:11 am
The SEC proposed rules enhancing the regulation of private fund advisers. [read post]
27 Apr 2014, 6:03 pm
Topics include: • The April 23, 2014 USCIS’s stakeholders listening session • FINRA’s recent notices and how to spot key trends in EB-5 regulation • Recent subpoenas issued by the SEC and what these enforcement efforts may mean for you • Brokerage issues and Investment Advisor registration requirements • Senator Coburn’s requests to regional centers for EB-5 program data.] [read post]
11 May 2017, 8:33 am
Additionally, the court could not find authority for a private citizen such as Ms. [read post]
19 Sep 2012, 12:41 pm
Comments are due by October 5, 2012. [read post]
4 Jun 2010, 8:47 am
It has already started, we wonder if anyone is tweeting right from inside the award ceremonies.Ernst & Young World Entrepreneur Of The Year® 3-6 June 2010— Program AgendaThursday 3 June 7:30 Registration Office Opens (Open throughout the weekend) Hotel Hermitage7:35 – 18:10 Judges' Private Meetings with Individual Country Winners Hotel Hermitage, Excelsior Salon19:00 - 20:30 Welcome Reception Hotel de Paris, Salle Empire and TerraceFriday 4 June 7:00 - 8:30… [read post]
21 May 2010, 1:28 pm
Those who do not are beyond the reach of Rule 10b-5’s private right of action. [read post]
8 Apr 2013, 9:51 am
Blass indicated a willingness to work with the industry to fashion an exemption from broker dealer registration that is specifically tailored to private fund sales, he also reminded the audience that the SEC is quite willing to take enforcement action against private funds that employ unregistered brokers. [read post]
30 Jun 2010, 7:36 pm
It is important that private equity fund managers, who will likely be subject to investment adviser registration under the Wall Street Reform and Consumer Protection Act, understand that this will be applicable to their business as well. [read post]
11 Jul 2007, 12:52 am
As a practical matter, redemption rights, like demand registration rights, are almost never exercised. [read post]
