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21 Nov 2017, 7:00 am
Have any suggestions for the 3 Count? [read post]
10 May 2022, 8:27 am
The information for inclusion would be:Climate-related risks and their actual or likely material impacts on the registrant’s business, strategy, and outlook;The registrant’s governance of climate-related risks and relevant risk management processes;The registrant’s greenhouse gas emissions (GHG), which, for accelerated and large accelerated filers and respecting certain emissions, would be subject to assurance;Certain climate-related financial statement… [read post]
29 Apr 2013, 1:54 am
A Dialogue with Benedetta Ubertazzi’s book Exclusive Jurisdiction in Intellectual Property Related posts:First Issue of 2012′s Journal of Private International Law Volume 4, Issue 3, Journal of Private International Law Third Issue of 2011′s Journal of Private International Law [read post]
21 Nov 2008, 1:02 pm
Federal Rule 701 In 1988, the SEC adopted Rule 701 which exempts from registration securities issued pursuant to a written compensatory employee benefit plan or written contract by a nonreporting (i.e., privately held) company. [read post]
22 Dec 2011, 9:32 am
The accredited investor standards are used to determine certain exemptions from Securities Act registration for private offerings. [read post]
28 Oct 2013, 8:45 pm
The registration deadline to attend the seminar will be announced in due time. [read post]
13 Jun 2016, 6:46 am
This is significant because in April 2013 the Chief Counsel of the SEC’s Division of Trading and Markets gave a speech in which he stated that “to the extent [a private equity fund] advisory fee is wholly reduced or offset by the amount of [a] transaction fee, one might view the fee as another way to pay the advisory fee, which, in my view, in itself would not appear to raise broker-dealer registration concerns. [read post]
10 Oct 2011, 2:34 am
Investment advisers who had relied on the repealed “private adviser” exemption under Rule 203(b)(3) will have until March 30, 2012 to either register with Connecticut or to register with the SEC and make a notice filing with Connecticut. [read post]
26 Jun 2014, 5:30 am
FINRA stated in its complaint that due diligence is especially important for alternative investments such as private placement offerings under Regulation D where there is no registration of the securities with the SEC. [read post]
18 Sep 2018, 7:39 am
Speakers will not be required to pay a registration fee but must cover their own travel and accommodation costs. [read post]
17 Jul 2018, 5:09 pm
There were some clarifying changes to the requirements but the basic objectives of registration, reporting, abiding by certain parameters of behavior and complying with the DFS cybersecurity regulations remain the same. [read post]
5 Jul 2023, 7:33 am
Brooklyn Brew Shop, LLC, 2020 U.S.P.Q.2d 0914, at *9 (T.T.A.B. 2020), affirmed in relevant part, vacated in part, remanded, 17 F.4th 129, 2021 U.S.P.Q.2d 1069, at *3 (Fed. [read post]
11 Aug 2021, 9:26 am
Private fund advisers (hedge fund, private equity and venture capital fund managers) that rely on the federal ‘private fund adviser” exemption from investment adviser registration will not be impacted, including with respect to their 3(c)(1) funds. [read post]
11 Aug 2011, 6:05 pm
The 5 Rules of the Road for Private Company Financings under Rule 506 Before you start your securities offering, you have to identify an applicable securities law exemption from registration. [read post]
20 Aug 2022, 11:47 am
I am happy to piss along registration information for the upcoming European China Law Studies Association 2022 annual Conference. [read post]
13 Jul 2011, 12:11 pm
Meanwhile, the SEC also announced the adoption of rules to implement new registration exemptions for advisers with less than $150 million in private fund assets under management in the U.S. and those that qualify as "foreign private advisers". [read post]
21 Jul 2021, 12:49 pm
Opening at $32.00, the stock was trading as of 3:01 PM ET, at $42.59 per share on a volume of 3,630,397 shares. [read post]
10 May 2012, 2:39 pm
These private fund advisers offer advise on nearly 31,000 private funds with $8 trillion in assets. [read post]
13 Dec 2006, 2:50 am
Buyer 3. [read post]
9 Jan 2012, 9:48 pm
There are a number of important exemptions to these requirements that enable companies to raise money through what are commonly called “private placements. [read post]
