Search for: "Registration Private (3)"
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20 Dec 2010, 7:46 am
Many investment advisers, especially those which advise private funds, will soon have to register and adhere to substantial recordkeeping and reporting obligations under The Private Fund Investment Advisers Registration Act of 2010 (the “Act”). [read post]
18 Jul 2014, 3:31 pm
In addition, there are new exemptions from registration for certain private fund and venture capital fund advisers. [read post]
SEC Publishes Final Rule that Expands the Definition of ‘Accredited Investor’ for Private Placements
27 Aug 2020, 3:17 pm
[4] Trustees and advisory board members, or persons serving in a similar capacity, of a Section 3(c)(1) or 3(c)(7) fund or an affiliated person of the fund that oversees the fund’s investments, as well as employees of the private fund or the affiliated person of the fund (other than employees performing solely clerical, secretarial, or administrative functions) who in connection with the employees’ regular functions or duties, have participated in the… [read post]
4 May 2017, 6:17 am
(SEC Opinion 34-80340, March 29, 2017) affirms a fine and disciplinary action against KCD for selling securities in a private placement when no exemption from registration was available under Rule 506. [read post]
17 Apr 2008, 5:00 am
However, there is a caveat:"Please notice that this private registration hasn't any connection with the publication of official registrations, is not a registration by a government organization, and we haven't any business relation yet. [read post]
29 Dec 2013, 9:19 pm
Numbers are limited and early registration is highly recommended. [read post]
15 Feb 2017, 8:05 am
Feb. 3, 2017)NetJets is a private aviation company that specializes in “fractional ownership” of private airplanes and related endeavors. [read post]
30 Sep 2020, 5:44 pm
"ICAP has also produced fact sheets for all 50 states "explaining the laws barring unauthorized private militia groups and what to do if groups of armed individuals are near a polling place or voter registration drive. [read post]
11 May 2023, 2:00 am
The Fusus system provides live access to footage from officers’ Axon Body 3 cameras. [read post]
16 Jul 2016, 11:51 am
Federal & State Trademark Search & Analysis $200 Step 3: U.S. [read post]
16 Jul 2016, 11:51 am
Federal & State Trademark Search & Analysis $200 Step 3: U.S. [read post]
26 Jan 2020, 6:31 pm
We are especially interested in the legal obligations arising from the irregular situation of children lacking proper documentation, citizenship and registration. [read post]
18 Jul 2011, 1:08 pm
Securities Act Section 36b-6(c)(1):* Foreign private advisers as defined in 1940-Act Sections 202(a)(3) , 203(b)(3) and corresponding 1940-Act rules.* Investment advisers registered with the Commodity Futures Trading Commission as commodity trading advisors that meet the exemption conditions of 1940-Act Section 203(b)(6), as well as the requirement (for "commodity trading advisors advising about private funds" defined in 1940-Act Section 202(a)(29)) that… [read post]
19 Aug 2010, 8:07 am
” Under Section 18, covered securities are exempt from state regulations that: (1) require the registration or qualification of securities or securities transactions; (2) impose any requirements related to disclosure documents used in an offering; or (3) impose any merit regulation of such offerings. [read post]
15 Aug 2008, 1:01 am
At present, telephone numbers not used primarily for private or domestic purposes and all numbers used exclusively to send or receive faxes, may not be listed on the Register. [read post]
30 Mar 2018, 2:02 pm
Section 2(ll)(2) of FIFRA defines a minor use of a pesticide as one that lacks sufficient economic incentive to seek or maintain a registration but has private or social value. [read post]
16 Nov 2010, 6:30 am
These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and address reporting by certain investment advisers that are exempt from registration. [read post]
9 Jun 2019, 3:02 am
Building on the successful conferences held in Aberdeen (2005), Birmingham (2007), New York (2009), Milan (2011), Madrid (2013), Cambridge (2015) and Rio (2017) the Journal of Private International Law will be holding its 8th Conference at the University of Munich from 12 – 14 September 2019. [read post]
30 Mar 2012, 11:16 am
The Dodd-Frank Act included the registration provision for hedge funds and private equity advisers so that the SEC could have a better understanding of the area. [read post]
7 Nov 2016, 6:30 am
Private funds relying on section 3(c)(7) of the 1940 Act must, among other things, only admit qualified purchasers as investors; while, on the other hand, private funds relying on section 3(c)(1) of the 1940 Act may also admit accredited investors. [read post]
