Search for: "Registration Private (3)"
Results 541 - 560
of 4,732
Sorted by Relevance
|
Sort by Date
20 Mar 2019, 11:52 am
While it is encouraging that Colorado has confronted the utility token issue in a creative way, the compliance system it sets up is not much different from the one applicable to other private placements of traditional securities. [read post]
1 Jul 2010, 6:07 am
1 Release IA-3043 (7/1/10) 2 In any event, hedge funds and private equity funds with at least $150 million in assets under management are expected to lose the ability to rely on the private investment adviser exemption under the Dodd-Frank Act, so they will become fully subject to the SEC’s recordkeeping and other investment adviser rules upon registration. [read post]
18 May 2010, 2:21 am
Private Whois Service, FA1004001318204 (Nat. [read post]
16 Feb 2012, 2:49 am
The record included only one third-party registration that included both "pet treats" and "boarding and daycare for private pets. [read post]
22 Apr 2011, 8:57 am
Find a way for “private placement brokers” to have a simplified broker-dealer registration. 3. [read post]
5 Aug 2021, 12:15 pm
All positions are open until filled.Call for applications: Protection Intern, UNHCR China [info]- Apply by 15 Aug. 2021.Job announcement: Consultant, Private Sector Partnerships Service, UNHCR China [info]- Apply by 15 Aug. 2021.Call for registration: 4th Online Course on Teaching Refugee Law: Global Compact on Refugees, 20 September-15 October 2021 [info]- Register by 16 Aug. 2021.Call for applications: Refugee Youth Coordinator, UNHCR Kenya [info]- Apply by 17… [read post]
6 Oct 2011, 3:19 pm
” A private fund manager that solely advises venture capital funds (as defined in SEC regulations) qualifies for an exemption from investment adviser registration under the Investment Advisers Act of 1940. [read post]
3 Oct 2015, 7:42 pm
Under the circumstances here the court reduces the fee to $3,000 plus 500 for the agency registration. [read post]
17 Jan 2016, 8:24 pm
Under the circumstances here the court reduces the fee to $3,000 plus 500 for the agency registration. [read post]
5 Jun 2012, 5:00 am
Real estate funds are not explicitly exempt from registration. [read post]
14 Mar 2012, 10:28 am
Written by Jay Gould, Michael Wu and Peter Chess The Commodity Futures Trading Commission (the “CFTC”) recently amended its registration rules regarding Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”), which will require many general partners and managers of private investment funds that previously relied on an exemption from registration to now register with the CFTC. [read post]
27 Jan 2020, 5:02 am
In order to convert a previous offering to a 506(c) offering, the private fund needs to (1) file a new Form D with the SEC, indicating its reliance on 506(c); (2) amend the private fund’s offering documents; and (3) follow the verification methods described above for all subsequent investors in the private fund. [read post]
4 Feb 2023, 11:47 pm
Time 11am-12pm AEDT (Thu 2 March, 7-8pm EST) Registration Complimentary, however registration is essential. [read post]
3 Apr 2018, 5:30 am
The principle of sincere cooperation (Art. 4 (3) EUT) does not lead to a different conclusion. [read post]
18 Jun 2019, 9:09 am
“We are taking a critical look at our exemptions from registration to ensure that our multifaceted private offering framework works for investors and entrepreneurs alike, no matter where they are located in the United States,” said SEC Chairman Jay Clayton. [read post]
22 Feb 2016, 8:23 am
A merger and acquisition broker-dealer would be exempt from Vermont broker-dealer registration requirements unless the M&A broker-dealer: (1) receives, holds, transmits, or has custody of funds or securities, either directly or indirectly in connection with the transfer of ownership of an eligible privately held company, that are to be exchanged by the parties to the transaction; (2) engages on the issuer’s behalf in a public offering of any class of securities… [read post]
30 Nov 2020, 2:22 pm
” Section 3(a)(4) of the Exchange Act, 15 U.S.C. [read post]
6 Mar 2014, 8:22 am
Kelly Johnson In a 6-3 decision, the U.S. [read post]
25 Mar 2014, 3:44 pm
On March 4, 2014, the United States Supreme Court, in a 6-3 decision, expanded the protections offered to whistleblowers under anti-fraud laws, in Lawson v. [read post]
16 Apr 2024, 9:01 pm
Article 14 applies regardless of whether the registrant uses the forms for domestic issuers (e.g., Form 10-K) or for foreign private issuers (e.g., Form 20-F),[3] and regardless of whether the registrant uses U.S. [read post]
