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6 Mar 2012, 5:00 am
Sources: Secretary Galvin Adopts New Regulations New Regulations effective February 3, 2012 (PDF, 131 KB) Letter Approving New Regulations (dated 1/19/2012) (PDF, 90 KB) NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule (.pdf) Massachusetts rule exempting many private fund advisers takes effect in IA Watch State Investment Adviser Registration Requirements for Private Fund Managers Part 2: The Southeast State… [read post]
19 Nov 2009, 9:00 am
I decided to play around and create one for the House version of the Private Fund Investment Advisers Registration Act. oc_host_url = "http://www.opencongress.org/"; oc_bill_id = "111-h3818"; oc_frame_height = "205"; oc_bgcolor = "ffffff"; oc_textcolor = "3153e7"; oc_bordercolor = "153e7e"; I'll create one for the Senate version once they formally introduce the Restoring American Financial Stability Act of 2009. [read post]
28 Apr 2011, 8:06 am
" (2) The exemption would not apply to federal covered investment advisers; they would be subject to notice filing requirements. (3) The exemption would not apply to any investment adviser whose private funds accept investments from non-natural persons to evade registration or the conditions or limitations of the exemption. (4) A "private fund," "3(c)(7)fund," and "venture capital fund" would be defined.Institutional… [read post]
20 Oct 2020, 5:26 am
Transitioning to Registration and SEC Eligibility Investment advisers no longer eligible for the Colorado Private Fund Adviser Exemption must register with the state within 90 days of such ineligibility. [read post]
20 Jun 2012, 5:00 am
Most private funds, including real estate funds, have looked at the exclusions under section 3(c)(1) or 3(c)(7) as safe harbors from registration under the Investment Company Act. [read post]
19 Jun 2009, 5:39 am
So here is what I see n the Act: Registration The Act deletes the exemption from registration in Section 203 (b)(3) of the Investment Advisers Act and replaces it with an exemption for foreign investment advisers. [read post]
16 Mar 2010, 7:00 am
” Private Equity Fund Advisers Unlike the bill passed by the House, Dodd proposes an exemption from registration or reporting requirements with respect to advice given to private equity funds. [read post]
14 Sep 2009, 9:08 pm
Registration is now open for the U.S. [read post]
13 Dec 2010, 7:40 am
Instead, companies rely on a set of rules known as Regulation D, which provide companies raising capital with an exemption from registration with the SEC. [read post]
2 Aug 2011, 5:11 pm
In future posts, I will begin to review the current status of the law in each state, regarding exemptions from investment adviser registration for private fund managers. [read post]
18 Apr 2011, 1:19 pm
In a letter to David Massey, Deputy Securities Administrator of the North Carolina Securities Division, and President of the North American Securities Administrators Association, Robert Plaze, Associate Director in the Division of Investment Management said that the delay, if it occurs, will be intended to give hedge fund and private equity fund advisers the time they need to register and come fully into compliance with the obligations applicable to them once they are registered with the… [read post]
18 May 2016, 6:16 am
On May 3, the SEC approved rule amendments that will make it easier for many private companies to remain private, and easier for some public financial companies to terminate their SEC reporting obligations. [read post]
30 Oct 2019, 9:06 am
As noted, most states exempt private fund advisers from registration obligations arising under those states’ “Blue Sky” investment advisory laws. [read post]
1 Nov 2017, 8:25 pm
Over the years, thousands of students and professionals have come to the Peace Palace in The Hague to acquire a deeper understanding of Public International Law and Private International Law. [read post]
31 May 2012, 8:25 am
Since then, the staff reviews initial registration statements of foreign issuers that are submitted on a non-public basis only where the registrant is: (1) a foreign government registering its debt securities; (2) a foreign private issuer that is listed or is concurrently listing its securities on a non-U.S. securities exchange; (3) a foreign private issuer that is being privatized by a foreign government; or (4) a foreign private issuer… [read post]
16 Sep 2018, 7:24 am
Registration for the XLI Seminar organised by the Mexican Academy of Private International and Comparative Law (AMEDIP) is now open, please click here. [read post]
28 Mar 2012, 2:54 pm
Maine issued an interim order exempting private fund advisers from registration, which became effective on February 16, 2012. [read post]
24 Jul 2011, 3:05 pm
The Dodd-Frank Act's rendering the Section 203(b)(3) federal private fund adviser exemption ineffective on July 21, 2011 simultaneously made Missouri's existing Section 203(b)(3) private fund adviser exemption at Rule 3-51.180(6) ineffective. [read post]
31 Jan 2011, 6:17 pm
New Forms Form PF – Form PF was designed to provide government agencies with information about the basic operations and structure of private funds. [read post]
22 Jun 2022, 3:30 am
Opponents of the SEC’s proposals have highlighted the potential impact of the Scope 3 emissions disclosure requirement on private companies. [read post]
