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5 Apr 2018, 2:55 am by Neil Wilkof
OxFirst notes that the number of places is limited and that only registrations undertaken from professional email addresses are accepted (no registrations from Yahoo, Gmail or similar private accounts will be accepted). [read post]
29 Apr 2016, 11:31 am by Ildiko Duckor and Corey Harris
  However, the SBIC adviser exemption did not allow advisers to combine multiple exemptions such as the private fund or venture capital fund adviser exemptions in order to avoid SEC registration. [read post]
30 Jul 2009, 2:13 pm
This action followed some confusion yesterday where it was brought to the floor needing a 2/3 vote and failed. [read post]
21 Jan 2010, 8:21 am by J
The Housing and Regeneration Act 2008 (Registration of Local Authorities) Order 2010 has just been laid before Parliament in draft form, to come into effect on April 1, 2010. [read post]
29 Jun 2015, 6:00 am by Jack J. Gravelle
Companies seeking the benefit of a potential public market (assuming one develops) for their securities and a broader investor base without the costs of Exchange Act registration and reporting. [read post]
21 Feb 2011, 6:34 pm
The FDA’s priorities are stated to be: 1) Prevention – mandatory controls, product safety, and intentional contamination; 2) Inspection, compliance, and response – administrative detention, recall, and suspension of registrations; 3) Import safety – foreign supplier verification, third-party certification, and mandatory certification of high-risk foods; and 4) Enhanced partnerships – with other governments, other government entities, and the… [read post]
26 Jan 2009, 11:46 pm
  Norquay, who is registered to lobby on copyright on behalf of both Microsoft and the Canadian Association of Broadcasters, points to recent registrations by CRIA and the Canadian Private Copying Collective. [read post]
19 Jun 2013, 5:23 am by Doug Cornelius
The ruling may have an impact on fundraising for private funds and other private placements. [read post]
17 Jun 2011, 7:36 am by William Carleton
The report lists recommendations from forum participants (excluding SEC staff), and the following recommendation ranks near the top, at number 2: "The Commission should adopt a new private offering exemption from the registration requirements of the Securities Act that does not prohibit general solicitation and advertising for transactions with purchasers who do not need all the protections of the Securities Act’s registration requirements. [read post]
8 Aug 2014, 6:01 am by Adam Weinstein
Livingstone remained registered with BB&T until the firm filed a Form U5 that terminated his registration with on October 3, 2013. [read post]
10 Nov 2015, 4:00 am by Doug Cornelius
The expenses were for a third-party consultant and outside counsel, as well as registration fees. [read post]
21 Oct 2020, 6:29 am by Shannon O'Hare
On October 7, 2020, the Securities and Exchange Commission (the “SEC”) proposed a new conditional rule exempting certain “Finders” from broker registration requirements when helping issuers raise capital from accredited investors in private transactions. [read post]
13 Aug 2012, 2:00 pm by EEM
Upcoming event: ECRE's Annual General Conference, Dublin, 17-19 October 2012 [info] - Open to members of ECRE; registration closes 21 Sept. 2012. [read post]
13 Aug 2012, 2:00 pm by EEM
Upcoming event: ECRE's Annual General Conference, Dublin, 17-19 October 2012 [info] - Open to members of ECRE; registration closes 21 Sept. 2012. [read post]