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15 Feb 2024, 11:58 am
It’s in Section 3(c)(1) of the Investment Company Act, which makes it part of the “private fund” definition. [read post]
13 Feb 2024, 9:01 pm
Private Funds While the final rules should capture many fewer private funds than the proposed rules would have, private fund managers should still consider whether their funds’ trading activities could cause the fund to be in scope. [read post]
13 Feb 2024, 9:09 am
Synopsis for Fund Managers The CTA provides an Exemption for each of: (i) an investment adviser registered with the Securities and Exchange Commission (the “SEC”) (an “RIA”); (ii) a fund manager that has filed as a venture capital fund adviser with the SEC (“VC Adviser”)[i]; (iii) an entity that is included as a “relying adviser” in an RIA’s Form ADV umbrella registration; and (iv) U.S. private funds that are exempt from… [read post]
9 Feb 2024, 6:33 am
Working with firms The FCA also highlights its regular engagement with the private sector through their associations, through public-private structures such as the Joint Money Laundering Intelligence Taskforce, and directly. [read post]
3 Feb 2024, 1:37 pm
Eric Goldman: Jawboning might not be right analogy—think about gov’t instructions to private speakers, but DMCA notices come from private individuals. [read post]
31 Jan 2024, 9:01 pm
Supreme Court is poised to decide at least two securities lawsuits that could change the landscape in both the private and regulatory arenas. [read post]
25 Jan 2024, 4:05 am
Require, in certain situations, the target company in a de-SPAC transaction to be a co-registrant with the SPAC (or another shell company) and thus assume responsibility for the disclosures in the registration statement filed in connection with the de-SPAC transaction; 3. [read post]
24 Jan 2024, 10:30 pm
Moreover, in the joint cases C-26/22 and C-64/22, the Court prohibited private agencies from storing data longer than the public register. [read post]
24 Jan 2024, 9:01 pm
What should a SPAC at the IPO stage disclose about potential private target companies that it may combine with? [read post]
24 Jan 2024, 6:20 am
”In addition to private offerings under section 4(a)(2) and its safe harbor, rule 506(b), there are at least five other categories of exemptions, Uyeda noted: (1) rule 506(c) under the Securities Act; (2) rule 504 under the Securities Act; (3) Regulation A, including tier 1 and tier 2; (4) Regulation Crowdfunding; and (5) the intrastate exemptions under section 3(a)(11) of the Securities Act and rules 147 and 147A. [read post]
24 Jan 2024, 4:31 am
Side Mirrors: Side mirrors on both sides of the golf cart further enhance visibility and awareness of your surroundings. 3. [read post]
22 Jan 2024, 9:01 pm
Overview of Current Regulatory Regime for Raising Capital without Registration Today, an issuer has multiple options for raising capital without filing a registration statement. [read post]
16 Jan 2024, 9:55 am
It looks really great this year: Coffee & Registration | 9:00-9:30 a.m. [read post]
16 Jan 2024, 5:01 am
Lanier, 520 U.S. 259, 270-71 (1997), and, if only private individuals are charged, must be one that protects against private interference (rather than having a state-action element), see United States v. [read post]
15 Jan 2024, 9:31 am
Background On 6 March 2020, a private individual filed for registration of German word mark no. 302020101825 ‘HiCoco’. [read post]
8 Jan 2024, 2:20 pm
Level 3: the most severe tier is reserved for sex offenders who are deemed high-risk, likely to reoffend and a potential threat to public safety. [read post]
5 Jan 2024, 5:28 am
Step 3. [read post]
5 Jan 2024, 3:00 am
The Justice Department also reached a similar agreement with Douglas Watts, a political consultant who prosecutors say worked alongside Bennett and failed to register under the Foreign Agents Registration Act. [read post]
3 Jan 2024, 6:07 am
Grounds 2 and 3 were contingent on Merton’s success on Ground 1, while Ground 4 was a free-standing ground. [read post]
2 Jan 2024, 12:56 pm
Registration for the webinar can be found here. [read post]
