Search for: "Registration Private (3)"
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2 Sep 2010, 11:21 am
It was down 3% since it went public, the WSJ reported. [read post]
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]
25 Jul 2011, 2:59 am
Until the Dodd-Frank Act was passed last year, these managers also were exempt from registration with the SEC because of the old Section 203(b)(3) exemption. [read post]
21 Feb 2011, 10:34 am
Bill Bowser and Molly DiBianca will be teaching a 3-hour workshop for private-sector employers on how to draft an effective social-media policy. [read post]
4 Mar 2011, 11:56 pm
The full programme can be found here Madrid 2011 and registration (which is free) is now open. [read post]
9 Sep 2015, 8:23 am
For many newly-regulated funds, this was likely viewed as just one more of the many burdens and anxiety drivers they are feeling as SEC registrants, along with the specter of presence exams, or another reason for a visit from the Office of Compliance Inspections and Examinations (OCIE) or the new Private Funds Unit (PFU). [read post]
21 Jun 2021, 1:22 am
Registration is open until Sunday 27 June 2021 at 23:59 The Hague time. [read post]
6 Sep 2015, 8:00 pm
For further information and registration, please click here. [read post]
26 Jan 2016, 1:47 pm
If readers are interested in attending, please contact Amber Walsh at awalsh@mcguirewoods.com for a registration discount. [read post]
30 Jun 2011, 11:42 am
Transition to State Registration, Registration Deadline. [read post]
13 Aug 2021, 4:26 am
Participation is free but online registration (here) is kindly requested to receive the link to the conference, which will be emailed shortly before the event. [read post]
4 Aug 2008, 6:43 am
Regulation D is a exemption from the onerous registration requirements (i.e. a Form S-1 registration statement) of the Securities Act for a private placement of securities. [read post]
27 Apr 2011, 8:28 am
The Dodd-Frank Act defines the term “private fund” to mean an issuer that relies on Section 3(c)(1) or 3(c)(7) of the Investment Company Act. [read post]
16 Oct 2011, 11:52 pm
Due to the overwhelming responds, the registration for all 3 sessions was already full: 1. [read post]
5 Sep 2012, 5:33 pm
The SEC confirmed that: Offshore offerings pursuant to Regulation S and concurrent Rule 144A/Rule 506 offerings under the proposed rules would not be integrated; and Because Rule 506 transactions are non-public offerings for purposes of Section 3(c)(1) and Section 3(c)(7) of the Investment Company Act, privately offered investment funds would be allowed to make a “general solicitation” pursuant to amended Rule 506 without losing their ability to rely on those… [read post]
4 Nov 2016, 3:10 am
May it sell securities to the same investor(s), with a portion coming from a takedown from its shelf registration statement for which it is relying on Instruction I.B.6 and a portion coming from a separate private placement that it concurrently registers for resale on a separate Form S-3 in reliance on Instruction I.B.3, if the aggregate number of shares sold exceeds the Instruction I.B.6 limitation that would be available to the issuer at that time? [read post]
22 Feb 2016, 6:38 pm
According to SEC filings, Aequitas Private Client Fund was organized in 2015 and headquartered in Lake Oswego, Oregon.This limited liability company is exempt from registration with the SEC. [read post]
23 Jul 2021, 8:12 am
Hill reportedly sold interests in eight private placement offerings, each of which claimed exemption from registration pursuant to Rule 506(b) of Regulation D. [read post]
9 Jan 2012, 9:21 pm
In a nutshell, private placements are illiquid non-publicly traded investments that are exempt from registration requirements under the Securities Exchange Act. [read post]
27 Dec 2013, 1:36 pm
The Sex Offender Registration Act: Risk Assessment Guidelines and Commentary was first issued by the Board of Examiners in January of 1996 and later revised in November of 1997. [read post]
