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5 Aug 2009, 2:40 am
"
Special EducationWednesday, August 5, 2009By Phyllis K.Saxe" Phyllis K. [read post]
10 Sep 2013, 8:58 pm
”[5] On the private equity side of mHealth, health care information technology investments totaled $766 million in 2011, an increase of 78 percent from the year before. [read post]
12 Jun 2022, 3:09 am
” The deadline for applications is 17 June 2022 (at 5:00 pm U.S. [read post]
24 Jul 2011, 6:23 pm
Investment advisers ineligible for SEC registration must file Form ADV-W, Application for Withdrawal from Investment Adviser Registration, with the SEC between March 30, 2012 and June 28, 2012, the date the advisers must be licensed in the District of Columbia. [read post]
13 Jan 2015, 8:25 am
The legislationestablishes a streamlined and commonsense approach that allows for the sale of small- and mid-size businesses while maintaining the necessary safeguards.The legislationprovides for a notice-filing registration procedure for brokers performing services in connection with the transfer of ownership of smaller privately held companies and provides for regulation appropriate to the limited scope of the activities of such brokers. [read post]
23 Dec 2013, 5:00 am
Tier 1 offerings can be for up to $5 million a year. [read post]
23 Dec 2013, 5:00 am
Tier 1 offerings can be for up to $5 million a year. [read post]
14 Aug 2018, 7:35 am
For this purpose, the concept of activity in Russia is not confined to the registration of an affiliate or a registered office in the Russian trade register. [read post]
22 Jul 2010, 3:40 pm
One change with immediate effect is the repeal of Rule 436(g) of the Securities Act of 1933, which currently excludes NRSROs from being treated as "experts" when their ratings are included in a registration statement. [read post]
10 May 2010, 11:30 pm
Private International Law and the Downturn 1. [read post]
9 Nov 2011, 7:42 am
5. [read post]
29 Jun 2016, 9:33 am
On June 22, 2016, mobile advertising company InMobi Private Ltd. settled Federal Trade Commission (“FTC” or “Commission”) claims of violations of Section 5 of the FTC Act, and the Children’s Online Privacy Protection Act and Rule (COPPA), for $4 million. [read post]
14 Jan 2019, 3:03 am
FAQ #5 also highlights the fact that Rule 430A isn’t available in the absence of a delaying amendment – it can only be used for registration statements that are declared effective by the Commission or the Staff. [read post]
2 Jan 2009, 12:02 pm
., 5:08-cv-05698-PVT (N.D. [read post]
18 May 2022, 4:10 am
As you may recall, the IPO On-ramp provisions of the legislation were immediately effective, so we in the private bar and the SEC Staff had to really scramble to figure out how it would all work. [read post]
24 Jul 2010, 1:07 pm
The definition of a qualified client will be required to be initially adjusted by the SEC and then will be adjusted every 5 years thereafter. [read post]
30 Aug 2013, 5:56 am
FINRA alleged that the private placement sales were nonexempt securities offerings that violated Rule 506 of Regulation D requiring registration and prohibits general solicitation of the investment to the public. [read post]
22 Jun 2015, 6:03 am
One group that was able to grab a limited exemption from the Investment Advisers Act registration was venture capital fund managers. [read post]
29 Apr 2013, 10:51 am
Union examiners leave right at 5. [read post]
1 May 2013, 7:00 am
Union examiners leave right at 5. [read post]
