Search for: "Registration Private (3)"
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20 Jan 2015, 6:00 am
In addition, a merger and acquisitions broker is not exempt from registration if the broker is subject to suspension or revocation of registration under the 1934 Act, or other disqualified under applicable law or order. [read post]
27 May 2008, 9:09 am
MERS is a privately held company that "registers" mortgages. [read post]
22 Dec 2017, 8:49 am
Italian authorities refused to register their marriages on the basis that registration would be contrary to public policy. [read post]
20 May 2013, 9:43 am
Here is the relevant WAC provision in the proposed rules regarding exemption for qualifying private fund managers: WAC 460-24A-071 Registration exemption for investment advisers to private funds. (1) Exemption for private fund advisers. [read post]
30 Nov 2020, 2:22 pm
” Section 3(a)(4) of the Exchange Act, 15 U.S.C. [read post]
25 May 2011, 12:18 am
In a session entitled, “Financial Regulation Hitting the Reality of Private Cross-Border Relations” (chaired by Dr Joanna Perkins, 3-4 South Square) the expert speakers will be: Dr Peter Werner, ISDA Professor Francisco Garcimartin Alferez, University Rey Juan Carlos Professor Matthias Lehmann, University of Halle-Wittenberg Further details (including other panels and speakers, venue and registration) are available here. [read post]
8 Mar 2012, 7:51 am
Freedom1stFunding.com is a website registered offshore under a private domain registration. [read post]
6 Aug 2012, 2:51 pm
Some applicants and registrants have reported paying fees to these private companies, mistakenly thinking that they were paying required fees to the USPTO. [read post]
1 Aug 2010, 5:00 am
Title IV 85 is the “Private Fund Investment Advisers Registration Act of 2010” and eliminates some exemptions from registration that previously existed.86 In Section 402, the Act adds definitions of “private fund” and “foreign private adviser” to the Advisers Act. [read post]
2 May 2023, 9:01 pm
Taken together, those fees might add up to 3-4 percent in private equity and 2-3 percent in hedge funds per year. [read post]
1 Jun 2016, 9:15 am
“Blackstreet clearly acted as a broker without fulfilling its registration obligations. [read post]
14 Oct 2009, 4:00 am
” This is the gateway to an exemption from the registration requirement under the federal securities laws. [read post]
11 Nov 2010, 11:43 am
The focus is on how investors were solicited and whether it was through the registration statement that was filed. [read post]
16 Jul 2014, 1:09 pm
Registration will be open soon. [read post]
16 Mar 2011, 2:00 am
The Commissioner is specifically seeking comment on the following questions: To avoid the “retailization” of private alternative investment funds, should the exemption apply exclusively to advisers to Section 3(c)(7) funds (i.e., not to Section 3(c)(1) funds)? [read post]
23 May 2018, 11:06 am
Any queries, as well as registration requests, may be directed to asistencia@amedip.org. [read post]
27 Feb 2012, 11:31 am
Virginia's previous private fund adviser exemption could be short-lived because it may be replaced by a new proposed rule. [read post]
1 Feb 2023, 9:01 pm
”[11] Moreover, prior to the passage of Reg D, the Supreme Court had noted that determining whether registration is required or exempt turns on whether investors have access to “the kind of information which registration would disclose. [read post]
27 Mar 2018, 2:40 am
For the programme and further information on registration, please click here. [read post]
21 Apr 2010, 6:46 am
Financial Industry Regulatory Authority (FINRA) yesterday published guidance regarding the suitability, disclosure and other obligations of broker-dealers recommending securities in offerings made under the SEC's Regulation D (private placements). [read post]
