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20 Jul 2011, 12:31 pm
North Carolina-registered investment advisers and their representatives currently qualified for the State's de minimis exemption from investment adviser (and investment adviser representative) registration in accordance with Section 203(b)(3) of the Investment Advisers Act of 1940 may continue to temporarily rely on the exemption after the July 21st, 2011 effective date of SEC rules implementing Dodd Frank Act provisions, until the date the North Carolina Deputy Securities… [read post]
17 May 2012, 8:45 am
The de minimis registration exemption for investment advisers under Section 203(b)(3) of the Investment Advisers Act of 1940 (Advisers Act), although eliminated at the federal level by the Dodd-Frank Act, was extended by the Missouri Securities Division until the sooner of May 13, 2013 or the adoption of the Division's proposed private fund adviser exemption. [read post]
27 Oct 2009, 7:25 pm
This Act may be cited as the `Private Fund Investment Advisers Registration Act of 2009′. [read post]
10 Nov 2016, 6:57 am
Venue Norton Rose Fulbright 3 More London Riverside London , SE1 2AQ Registration Please click here to register. [read post]
4 Sep 2012, 12:44 pm
On April 24, the CFTC repealed the exemption from registration under the U.S. [read post]
12 Jan 2012, 10:15 am
SEC released a statement regarding non-public submissions of initial registration statements by foreign private issuers. [read post]
20 May 2021, 11:59 am
Registration and attendance online is free. [read post]
6 Mar 2009, 7:14 am
The Act, if passed, would delete Section 203(b)(3) from the Investment Advisers Act of 1940. [read post]
7 Sep 2011, 6:02 am
" Wyoming-based advisers must therefore register with the SEC regardless of their assets under management, unless otherwise exempt from registration under the Investment Advisers Act or a private adviser able to rely upon the transition rule provided in 203-1(e). [read post]
6 Feb 2014, 11:00 pm
Instead, the Staff limited the work these people and entities could perform to instances where the M&A Broker was not able to: (1) bind a party to any transaction; (2) hold funds or securities as part of the transaction; (3) participate in a public offering; and (4) participate unless the buyer, ultimately, owned a private company. [read post]
9 Jul 2016, 1:06 pm
The next Journal of Private International Law Conference will take place in Rio de Janeiro, Brazil from 3-5 August 2017. [read post]
15 Feb 2012, 12:36 pm
As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act passed on July 21, 2010, there have been significant reforms applicable to non-US advisers conducting business in the United States, including new registration requirements under the Advisers Act (the "Act"). [read post]
27 Feb 2015, 9:41 am
Finally, level 3 offenders are the highest risk and must register for life. [read post]
20 Jul 2009, 3:46 am
Because advisors to private funds have the option to ‘opt out’ of registration, they can easily bypass any monitoring and oversight. [read post]
23 Sep 2011, 2:13 am
For the full GAO report, please see GAO Private Fund Adviser SRO Report. **** Cole-Frieman & Mallon LLP is a law firm which provides adviser registration, compliance and legal support to SEC registered hedge fund managers. [read post]
19 Mar 2012, 1:16 pm
Comments must be received by April 19th, the date of the public hearing.The text of the proposed rule is as follows:Rule 204(3)-3 REGISTRATION EXEMPTION FOR INVESTMENT ADVISERS TO PRIVATE FUNDS. [read post]
13 Jan 2015, 5:43 am
If your sales team was paid a commission on fund commitments, it raised an issue of broker/dealer registration for the employee. [read post]
21 Feb 2024, 1:03 am
We are please to announce that registration for the next bi-annual conference of the European Association of Private International Law (EAPIL) is now open! [read post]
24 Aug 2020, 4:00 am
According to the FINRA findings, he engaged in the sale of promissory notes of more than $3 million to 18 different investors without the proper registration. [read post]
1 Sep 2012, 2:09 pm
Private fund advisers are persons who provide advice solely to one or more “qualifying private funds,” which are defined as funds that qualify for the exclusion from the definition of an investment company under one or more of sections 3(c)(1), 3(c)(5) and 3(c)(7) of the Investment Company Act of 1940. [read post]
