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8 May 2012, 4:57 am
By: Joe Marrow On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act) which, among other things, increases the existing metrics pursuant to which a private company is required to register a class of equity securities under the Exchange Act of 1934. [read post]
6 Jul 2015, 1:40 pm
Click here for the full conference program and registration information About the EB-5 Investors SummitThis EB-5 Investors Summit is for both entry-level and experienced EB-5 lawyers and others in the EB-5 industry. [read post]
6 Jul 2015, 1:40 pm
Click here for the full conference program and registration information About the EB-5 Investors SummitThis EB-5 Investors Summit is for both entry-level and experienced EB-5 lawyers and others in the EB-5 industry. [read post]
11 Mar 2016, 3:01 pm
Session 5: Institutions II Moderator: Alfred C. [read post]
23 Mar 2021, 2:56 pm
The second is the registration requirement imposed on private funds and other Dodd-Frank requirement. [read post]
5 May 2020, 6:00 pm
Kayleigh McEnany defends Flynn, 5/1/20 See omnystudio.com/listener for privacy information. [read post]
19 Mar 2012, 1:16 pm
An exemption from investment adviser registration for private fund advisers was proposed by the Rhode Island Securities Division. [read post]
10 Apr 2012, 7:23 am
Late-stage private companies contemplating an M&A or IPO exit often undertake so-called "dual-track" processes in which they simultaneously file an IPO registration statement with the SEC and hold discussions with prospective acquirors. [read post]
29 May 2009, 12:59 pm
Just this weekend I came across someone soliciting the "private" sale of securities on Twitter - definitely not a good idea if you are trying to comply with the registration exemptions under Regulation D.The federal securities laws for both public and private offerings are based on the premise that investors in securities are best protected by the disclosure of all relevant information regarding the securities and the issuer. [read post]
6 May 2013, 5:00 am
Of those not registered, 5 are overseas and likely are outside the scope of SEC registration requirements. [read post]
18 Jul 2018, 10:52 am
The SEC today issued final rules to amend Securities Act Rule 701, which provides an exemption from registration for securities issued by private companies pursuant to compensatory arrangements, such as equity plans. [read post]
18 Jul 2018, 10:52 am
The SEC today issued final rules to amend Securities Act Rule 701, which provides an exemption from registration for securities issued by private companies pursuant to compensatory arrangements, such as equity plans. [read post]
8 Jan 2018, 6:10 am
The FAST Act also amended the exemption from registration for any advisers to private funds with less than $150 million in assets under management by excluding the assets of SBICs when calculating private fund assets toward the registration threshold of $150 million (Amendments to Investment Advisers Act Rules to Reflect Changes Made by the FAST Act, Release No. [read post]
21 Nov 2016, 12:43 pm
A securities offering exempt from registration with the SEC is sometimes referred to as a private placement or an unregistered offering. [read post]
19 Jul 2011, 8:05 pm
Prior to the enactment of the Dodd-Frank Act, most private fund managers relied on the exemption from investment adviser registration contained in Section 203(b)(3) of the Investment Advisers Act, which exempted any adviser with under 15 clients from registration (the so-called “15 client exception. [read post]
19 Jul 2011, 8:05 pm
Prior to the enactment of the Dodd-Frank Act, most private fund managers relied on the exemption from investment adviser registration contained in Section 203(b)(3) of the Investment Advisers Act, which exempted any adviser with under 15 clients from registration (the so-called “15 client exception.”) [read post]
2 Oct 2014, 3:44 pm
You may want to read: Part 1 – EB-5 offerings do not fit standard SEC registration requirements and Part 2 – Securities broker-dealer registration requirements and hiring U.S. and Non-U.S. brokers. [read post]
20 Jan 2012, 3:34 pm
Under the August 2011 order, a venture capital fund manager was exempt from investment adviser registration with the Indiana Securities Division if: (1) it maintains a place of business in Indiana, (2) during the preceding twelve months, it had no more than 5 clients that are residents of Indiana, (3) it does not hold itself out generally to the public as an investment adviser, and (4) it met the federal venture capital exemption from registration with the SEC. [read post]
16 Apr 2012, 11:00 pm
On April 5, President Obama signed into law the Jumpstart Our Business Startups Act ("JOBS Act"1). [read post]
16 Apr 2012, 11:00 pm
On April 5, President Obama signed into law the Jumpstart Our Business Startups Act ("JOBS Act"1). [read post]
