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2 Mar 2011, 2:16 pm
Since most registrations were taking 3-5 months in any event, a number of PIPE investors, especially in less liquid companies, have been forgoing the registration rights, since it distracts the company and can be expensive. [read post]
29 May 2012, 5:30 am
Fourteen of these largest hedge fund advisers are new registrants. [read post]
27 Nov 2023, 8:07 am
Brunetti (2019) and strike down this trademark registration law as an unconstitutional regulation of speech protected by the First Amendment. [read post]
10 Apr 2020, 6:01 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, April 10, 2020 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of April 3–9, 2020 SEC–Exempt Offerings Posted by Jonathan Adler, Stacey Song, and Jessica Forbes, Fried, Frank, Harris, Shriver & Jacobson LLP, on Friday, April 3, 2020 Tags: Accredited investors, Capital formation, Disclosure, Equity… [read post]
7 Jan 2021, 2:47 pm
SEC Expands Definition of Accredited Investor On August 26, 2020, in a 3-2 vote, the SEC adopted amendments to the definition of “accredited investor. [read post]
22 Oct 2023, 9:01 pm
’”[12] The court also explained that the plain text of Section 10(b) differs significantly from that of other provisions of the federal securities laws that do allow for a private action based solely on an Item 303 violation—namely, Sections 11 and 12(a)(2) of the Securities Act, which address misstatements or omissions in registration statements and prospectuses.[13] Unlike Exchange Act Section 10(b), Securities Act Sections 11 and 12(a)(2) explicitly state that… [read post]
26 Jul 2013, 6:50 am
Further information as well as the registration form can be found here. [read post]
1 Dec 2012, 5:19 pm
80a–3), but for section 3(c)(1) or 3(c)(7) of that Act.The end user exemption excludes private funds. [read post]
1 Dec 2012, 5:19 pm
80a–3), but for section 3(c)(1) or 3(c)(7) of that Act.The end user exemption excludes private funds. [read post]
3 Aug 2011, 2:00 am
By raising the SEC registration threshold to $100 million, Dodd-Frank generally bars smaller and mid-sized investment advisers from choosing SEC registration over state registration. [read post]
3 Jun 2008, 5:23 pm
More information and registration information here. [read post]
1 Jun 2010, 2:52 pm
Peak Securities has lost its FINRA registration to serve as a broker-dealer. [read post]
27 Mar 2013, 5:05 pm
The special early-bird discounted registration rate expires April 1. [read post]
7 Jun 2013, 10:09 am
(i) http://www.theventurealley.com/vc-and-pe-funds/private-fund-adviser-exemption-150m-from-registration-under-the-advisers-act-final-dodd-frank-act-ru/ (ii) http://www.theventurealley.com/vc-and-pe-funds/reporting-requirements-for-funds-exempted-from-investment-advisers-act/ (iii) http://www.theventurealley.com/vc-and-pe-funds/washington-state-to-regulate-fund-managers/ 1 Here is the full text of Section 203(l): “EXEMPTION OF VENTURE CAPITAL FUND ADVISERS. [read post]
6 Jun 2021, 9:20 am
" (Michel Foucault, The Care of the Self, 3 The History of Sexuality (NY Random House, 10988), p. 80). [read post]
28 Jun 2017, 3:48 pm
These new FAQs include guidance on (i) the umbrella registration approach that many private fund sponsors use to register multiple affiliates and (ii) the reporting of significant new information concerning separately managed accounts (not separate accounts). [read post]
10 Mar 2014, 6:30 am
Event & opportunity:FY 2014 Funding Opportunity Announcement for NGO Programs Benefiting Tibetan Refugees in South Asia [info]- Proposal submission deadline is 27 March 2014.5th Asia Pacific Consultation on Refugee Rights, Bangkok, 2-4 September 2014 [info]- This year's theme is "Building a Framework for Regional Protection"; the registration deadline is 14 April 2014.Publications:Cambodia and Refugee Protection (Kaldor Centre for International Refugee Law, Feb. 2014)… [read post]
23 Sep 2014, 7:30 am
- Registration of Syrian refugees: where the response starts- Mobilizing private sector for refugees – UNHCR’s new PSFR Strategy- The Nansen Initiative reports back – human mobility and disasters in Africa- Unaccompanied children in Europe: what is in their best interests? [read post]
31 Mar 2020, 1:50 pm
The Size of the Private Fund Market The SEC’s Division of Investment Management, Analytics Office, tracks and reports data on private funds based on registrations with the SEC. [read post]
11 Nov 2008, 2:33 pm
Kansas Reluctantly Grants IA Registration Exemption for Hedge Fund Managers in No-Action LetterNo enforcement action was taken by the Kansas Office of the Securities Commissioner against managers of a large private equity investment fund ("hedge fund") for failing to register as investment advisers under the Kansas Uniform Securities Act. [read post]
