Search for: "Registration Private (5)"
Results 21 - 40
of 2,428
Sorted by Relevance
|
Sort by Date
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]
21 Dec 2011, 8:08 am
Private fund advisers are exempt from investment adviser registration if they satisfy specified requirements. [read post]
4 Jan 2012, 9:41 am
A public hearing on a new private fund adviser exemption, as well as an amended institutional investor definition and revised custody requirements for investment advisers will be held at the Massachusetts Securities Division on Thursday, January 5 at One Ashburton Place, Room 1701 in Boston Massachusetts 02108. [read post]
10 Nov 2009, 6:16 am
Investment advisers exempt from registration would still be subject to records and reporting requirements on an annual basis as prescribed by the SEC. 5. [read post]
4 Oct 2011, 12:22 pm
Himes); H.R. 2167, Private Company... [read post]
13 Aug 2020, 4:52 pm
In Fuller, the trial court concluded that the defendant posed a danger to the community based its findings that the defendant (1) made secret recordings over a long period of time (more than two months); (2) used sophisticated technology; (3) invaded the victim’s private space (her bathroom and bedroom) on multiple occasions to move the camera between them; (4) stored his recordings; and (5) could easily repeat the crime because the recording devices were cheap and easily… [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]
26 Jul 2006, 12:35 pm
As seen on uspto.gov: Registration Deadline for USPTO’s Chicago Regional Independent Inventors Conference July 28-29 at Northwestern University’s School of Law is Extended to 5:00 PM on Thursday, July 27... [read post]
13 Dec 2010, 7:40 am
Private placements tend to offer very high commissions for advisers, ranging anywhere from 5%-15% of the entire investment. [read post]
25 Jan 2012, 7:22 am
Three days ago, reports came out that the CFTC could be putting to a private vote the requirement that managed futures mutual funds be subject to marketing and registration rules when they use derivatives tied to commodities, which include commodity futures, options and swaps. [read post]
27 Apr 2011, 7:29 pm
A report shall be deemed filed when the report required by 950 CMR 12.205(2)(a)(1) and the fee are filed and accepted by the IARD on the state’s behalf. 5. [read post]
15 Dec 2014, 4:44 pm
This is not an uncommon situation for many EB-5 regional centers or sponsors, but the answer to this question gets tricky because of an exemption from registration under the Advisers Act adopted by the SEC in 2011 for advisers of “private funds” with less than $150 million in AUM, under SEC Rule 203(m)-1. [read post]
27 Jul 2011, 6:31 am
The current definition exclusion for investment advisers and federal covered advisers whose only clients are corporations, general partnerships and other entities with assets of at least $5 million would be proposed for repeal and replaced with an exemption for certain private advisers, to take effect September 2, 2011. [read post]
9 Feb 2012, 3:38 pm
The new proposed regulations provide for an exemption from registration for “private fund advisers. [read post]
18 Feb 2012, 10:09 am
They provide for an exemption from registration for “private fund advisers. [read post]
9 May 2012, 5:09 pm
They provide for an exemption from registration for “private fund advisers. [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]
10 Dec 2011, 10:57 am
Under Section 5(c) of the Securities Act, offers of securities cannot be made in the United States until a registration statement is publicly filed with the Commission using the EDGAR system. [read post]
6 Aug 2014, 2:57 pm
Almost all EB-5 offerings are conducted under Regulation S and/or Regulation D, without SEC registration. [read post]
20 Jul 2011, 1:26 pm
In the absence of the policy statement, the effect of this would be to require private advisers subject to Virginia registration requirements, and that have no other basis for exemption, to register in Virginia as investment advisers by July 22, 2011. [read post]
