Search for: "Registration Private (3)"
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17 May 2011, 5:00 am
The Small Business Capital Access and Job Preservation Act, H.R. 1082, would exempt advisers to private equity funds from SEC registration under the Investment Advisers Act. [read post]
16 Feb 2012, 7:46 am
REGISTRATION EXEMPTION FOR INVESTMENT ADVISERS TO PRIVATE FUNDS. [read post]
14 Dec 2010, 10:35 am
Second, the adviser’s clients must be limited to private funds that are subject to the exclusion under Section 3(c)(7). [read post]
30 Sep 2011, 5:58 am
She can switch to ‘private’ registration, where a third party’s name is substituted for hers in the public databases of domain registrants. [read post]
30 Jan 2011, 2:35 pm
As used in this rule a private fund means an issuer that would be an investment company as defined in section 3 of the Investment Company Act of 1940 but for sections 3(c)(1) or 3(c)(7) of the Act. e. [read post]
11 May 2012, 8:24 am
NOTES: (1) Investment adviser representatives employed by or associated with exemption-eligible investment advisers are, themselves, exempt from investment adviser representative registration if they do not otherwise act as investment adviser representatives; (2) Investment advisers that become ineligible for the private fund adviser exemption must, within 90 days following their ineligibility, register or notice file as investment advisers (as applicable) in Rhode Island; and… [read post]
12 Jun 2014, 7:33 am
These state actions reflect a continuing trend to exempt private fund advisers from registration under certain carefully circumscribed conditions. [read post]
15 Jul 2008, 9:28 pm
While no true definition of a private placement exists, it is commonly used to refer to the raising of capital (i.e., “securities”) without making a registration with the United States Securities and Exchange Commission (SEC). [read post]
28 Oct 2009, 10:28 am
References: Press Release – Committee Approves Private Advisor Registration Bill with Bipartisan Support Text of Private Fund Investment Advisers Registration Act Private Fund Investment Advisers Registration Act of 2009 – Prior post More on the Private Fund Investment Advisers Registration Act of 2009 – Prior post Capital Markets Regulatory Reform: Enhancing Oversight of Private Pools of… [read post]
3 Jan 2012, 1:40 pm
An exemption from investment adviser registration was proposed for private fund advisers by the California Department of Corporations. [read post]
16 Jan 2012, 7:03 pm
Some Background on Securities Registration Exemptions Under the Securities Act of 1933 (the ’33 Act), a private securities offering is exempt from the registration statement and prospectus requirements of public securities offerings. [read post]
18 Dec 2011, 4:47 pm
There will be a new exemption, which exempts a “private fund adviser” from registration any investment adviser who provides advice solely to one or more private funds (i.e. a 3(c)(1) fund or a 3(c)(7) fund).[1] A private fund adviser must not be subject to disqualification from prior bad acts such as fraud or other securities law violations. [read post]
29 Jun 2010, 5:00 am
If you have more than $30 million under management and fewer than 15 clients, you were exempt from registration with SEC under section 203(b)(3). [read post]
15 Aug 2014, 11:30 am
It will be held Sept. 3-5 at the Texas Law Center in Austin. [read post]
28 Oct 2009, 12:15 pm
House Committee on Financial Services announced yesterday that it had passed draft legislation (available here in its initial form as introduced in the House of Representatives) that would require the registration of advisers to private pools of capital. [read post]
10 Sep 2012, 9:00 am
The immediately effective exemption is only available to advisers who provide advice solely to “qualifying private funds,” which include venture capital funds, Section 3(c)(1), and Section 3(c)(7) funds. [read post]
26 Jun 2019, 11:29 am
The first rule of federal securities laws is often said to be that an offer and sale of securities is either: (1) registered with the SEC, (2) exempt from registration, or (3) illegal. [read post]
21 Sep 2017, 1:33 pm
Offshore Funds: If a fund is located offshore, it can be exempt from investment company registration if it (i) has no more than 100 U.S. investors and (ii) is not making a public offering its securities in the U.S. 3(c)(7) Funds The second primary method that private issuers use to be exempt from investment company registration involves restricting investment only to “qualified purchasers” pursuant to Section 3(c)(7) of the Act. [read post]
17 Jan 2012, 1:02 am
Conclusion The California private adviser exemption will change the entire registration regime in California. [read post]
3 May 2012, 6:30 am
Numerous states have recently adopted or proposed rules that exempt hedge funds, or "private funds" from the registration requirement of those states' investment adviser laws. [read post]
