Search for: "Registration Private (4)"
Results 21 - 40
of 2,424
Sorted by Relevance
|
Sort by Date
30 Jan 2011, 2:35 pm
Title IV of the Dodd-Frank Act eliminated this exemption and in its place, created new registration and reporting rules for private fund advisers. [read post]
11 Apr 2011, 5:00 am
The SEC may be bending on that deadline for the registration of private fund advisers. [read post]
27 Apr 2011, 7:29 pm
An investment adviser representative is exempt from the registration requirements of 950 CMR 12.205(2)(d) if registration would be required solely because of employment or association with an adviser exempt from registration under this subsection (c). 4. [read post]
17 Feb 2012, 8:28 am
Persons employed by or associated with exempt private advisers are, themselves, exempt from investment adviser and investment adviser representative registration.To qualify for the exemption, investment advisers providing advice only to qualified private funds defined in SEC Rule 203(M)-1 must: (1) maintain a place of business in Maine; (2) not hold themselves out generally to the public as investment advisers; (3) not be subject to "bad boy" disqualification provisions… [read post]
10 Nov 2009, 6:16 am
Introduction to the Bill The Private Fund Investment Advisers Registration Act would require investment advisers to hedge funds, private equity funds, and other private pools of capital to register with the SEC under the Investment Advisers Act of 1940 and be subject to reporting requirements, including reporting relating to systemic risk. [read post]
11 Jun 2011, 2:11 pm
The MFA believes that this is indicative of Congress’ intent for the regulatory framework to continue to provide relief from registration with respect to private offerings and to maintain a private offering framework. [read post]
16 Apr 2020, 6:35 am
The 2007 guidance for analyzing the integration of simultaneous registered and private offerings: [2] The filing of a registration statement should not be considered general solicitation that undermines the availability of the Section 4(a)(2) exemption for a concurrent private placement if the private placement investors were not solicited by the registration statement. [read post]
12 Dec 2010, 1:47 pm
New Advisers Act Section 203(m)-1 provides an exemption from registration with the SEC to those groups who only advise one or more qualifying private funds and manages less than $150 million in private fund assets. [read post]
13 Nov 2013, 11:00 am
The SEC has previously noted that the persons, who market interests in a private fund, may be subject to the registration requirements of Securities Exchange Act of 1934 Section 15(a)(1). [read post]
28 Apr 2011, 8:06 am
" (2) The exemption would not apply to federal covered investment advisers; they would be subject to notice filing requirements. (3) The exemption would not apply to any investment adviser whose private funds accept investments from non-natural persons to evade registration or the conditions or limitations of the exemption. (4) A "private fund," "3(c)(7)fund," and "venture capital fund" would be defined.Institutional buyer… [read post]
12 Dec 2011, 6:49 am
In a letter to the SEC, the MFA noted that, under Section 4(2) of the Securities Act, a transaction by an issuer that does not involve a public offering is exempt from registration. [read post]
26 Jul 2013, 6:22 am
The new rules leave intact Section 4(a)(2) of the Securities Act (which exempts from registration transactions by an issuer “not involving any public offering”) and existing Rule 506(b) (which provides a safe harbor under Section 4(a)(2) for offerings conducted without general solicitation). [read post]
31 Jan 2011, 6:17 pm
New Forms Form PF – Form PF was designed to provide government agencies with information about the basic operations and structure of private funds. [read post]
9 Feb 2012, 3:38 pm
The new proposed regulations provide for an exemption from registration for “private fund advisers. [read post]
31 May 2012, 8:25 am
Since then, the staff reviews initial registration statements of foreign issuers that are submitted on a non-public basis only where the registrant is: (1) a foreign government registering its debt securities; (2) a foreign private issuer that is listed or is concurrently listing its securities on a non-U.S. securities exchange; (3) a foreign private issuer that is being privatized by a foreign government; or (4) a foreign private issuer… [read post]
20 Feb 2019, 4:33 pm
Registration for the Second German Conference for Young Scholars in Private International Law, which will be held at the University of Würzburg on 4 and 5 April 2019, are still possible for another two weeks (until 10 March 2019). [read post]
22 Aug 2017, 12:35 pm
The Yale Law School Center for Private Law hosts a Private Equity Conference on November 17, 2017, 9:45-4. [read post]
21 Nov 2010, 10:06 pm
” The term “exempt reporting advisers” means an adviser exempt from SEC registration because: the adviser only advises solely one or more “venture capital funds” (Advisers Act Section 203(l)); or the adviser acts only as an adviser to private funds and has AUM in the US of less than $150MM (Advisers Act Section 203(m)). [read post]
6 Feb 2014, 11:00 pm
Instead, the Staff limited the work these people and entities could perform to instances where the M&A Broker was not able to: (1) bind a party to any transaction; (2) hold funds or securities as part of the transaction; (3) participate in a public offering; and (4) participate unless the buyer, ultimately, owned a private company. [read post]
2 Mar 2014, 12:39 pm
Facilitate a transaction involving the purchase or sale of a privately-held company no matter its size. [read post]
