Search for: "Registration Private (3)"
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1 Sep 2011, 1:46 pm
Indiana's exemption from investment adviser or investment adviser representative registration for persons failing to register in the State by virtue of their being exempt from federal investment adviser registration under Section 203(b)(3) of the Investment Advisers Act of 1940 and advising only venture capital companies, will continue by administrative order, effective August 29, 2011, by substituting the new Section 203(l) exemption for venture capital funds for the… [read post]
12 Dec 2010, 1:47 pm
New Advisers Act Section 203(m)-1 provides an exemption from registration with the SEC to those groups who only advise one or more qualifying private funds and manages less than $150 million in private fund assets. [read post]
19 Apr 2012, 3:41 pm
Previously, I reported that the Massachusetts Securities Division had proposed an exemption from investment adviser registration for advisers to private funds. [read post]
9 Feb 2012, 3:38 pm
The new proposed regulations provide for an exemption from registration for “private fund advisers. [read post]
10 Nov 2009, 6:16 am
Domestic investment advisers advising offshore funds that might have otherwise not been subject to registration because the assets of United States persons in their offshore funds were sufficiently small, however, would no longer be exempt. 3. [read post]
29 Jun 2011, 5:34 am
A sharply divided Securities and Exchange Commission June 22 voted 3-2 to adopt new rules and amendments to register hedge fund and private fund advisers, and to impose reporting requirements for funds exempt from registration. [read post]
9 May 2012, 5:09 pm
They provide for an exemption from registration for “private fund advisers. [read post]
11 Jun 2011, 2:11 pm
The MFA believes that this is indicative of Congress’ intent for the regulatory framework to continue to provide relief from registration with respect to private offerings and to maintain a private offering framework. [read post]
30 Aug 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on August 23 voted 3-2 to adopt new and amended rules under the Investment Advisers Act of 1940, as amended, that will impose additional requirements on registered investment advisers and will restrict certain activities for all advisers to private funds, regardless of SEC registration status (Final Rules). [read post]
30 Aug 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on August 23 voted 3-2 to adopt new and amended rules under the Investment Advisers Act of 1940, as amended, that will impose additional requirements on registered investment advisers and will restrict certain activities for all advisers to private funds, regardless of SEC registration status (Final Rules). [read post]
30 Aug 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on August 23 voted 3-2 to adopt new and amended rules under the Investment Advisers Act of 1940, as amended, that will impose additional requirements on registered investment advisers and will restrict certain activities for all advisers to private funds, regardless of SEC registration status (Final Rules). [read post]
30 Aug 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on August 23 voted 3-2 to adopt new and amended rules under the Investment Advisers Act of 1940, as amended, that will impose additional requirements on registered investment advisers and will restrict certain activities for all advisers to private funds, regardless of SEC registration status (Final Rules). [read post]
30 Aug 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on August 23 voted 3-2 to adopt new and amended rules under the Investment Advisers Act of 1940, as amended, that will impose additional requirements on registered investment advisers and will restrict certain activities for all advisers to private funds, regardless of SEC registration status (Final Rules). [read post]
30 Aug 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on August 23 voted 3-2 to adopt new and amended rules under the Investment Advisers Act of 1940, as amended, that will impose additional requirements on registered investment advisers and will restrict certain activities for all advisers to private funds, regardless of SEC registration status (Final Rules). [read post]
13 Aug 2020, 4:52 pm
In Fuller, the trial court concluded that the defendant posed a danger to the community based its findings that the defendant (1) made secret recordings over a long period of time (more than two months); (2) used sophisticated technology; (3) invaded the victim’s private space (her bathroom and bedroom) on multiple occasions to move the camera between them; (4) stored his recordings; and (5) could easily repeat the crime because the recording devices were cheap and easily… [read post]
16 Apr 2020, 6:35 am
The 2007 guidance for analyzing the integration of simultaneous registered and private offerings: [2] The filing of a registration statement should not be considered general solicitation that undermines the availability of the Section 4(a)(2) exemption for a concurrent private placement if the private placement investors were not solicited by the registration statement. [read post]
18 Feb 2012, 10:09 am
They provide for an exemption from registration for “private fund advisers. [read post]
17 Feb 2012, 8:28 am
An interim order exempting private fund advisers was issued by Maine's Office of Securities, effective February 16, 2012, until a private fund adviser rule can be proposed. [read post]
10 Nov 2017, 6:11 am
Kronforst reiterated the availability of Rule 3-13 waivers. [read post]
20 Jul 2011, 1:26 pm
Specifically, the Virginia statement recognizes and addresses the "regulatory gap" created by the SEC Rule 203-1(e), which grants an extension to March 30 2012 for private advisers formerly exempt from registration under Investment Adviser Act Section 203(b)(3), which was repealed by Dodd-Frank, to register with the SEC. [read post]
