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9 Dec 2011, 4:56 am
A Big Deal: Corp Fin Limits Confidential Submissions by Foreign Private Issuers Historically, Corp Fin has allowed foreign private issuers (FPIs) to submit initial drafts of registration statements - for their IPO or other first-time filings - on a "draft" confidential basis. [read post]
28 Oct 2021, 1:28 am
The American Association of Private International Law (ASADIP) will be holding its annual XIV conference entitled “Private International Law and Modern Technologies” on 4-5 November 2021 for the first time online. [read post]
15 Dec 2023, 7:00 am
Each year, by law, USCIS can approve up to new 65,000 H-1Bs, thereby allowing many private and employers to hire temporary qualified workers. [read post]
11 Mar 2024, 6:02 am
Make sure you protect your brand through federal trademark registration. [read post]
24 Nov 2020, 11:48 am
” Section 3(a)(4) of the Exchange Act, 15 U.S.C. [read post]
5 Sep 2014, 9:12 am
During his dates of registration, he was also affiliated as a private client banker with JPMorgan Chase Bank, N.A. [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]
24 Aug 2023, 6:31 am
When the Commission adopted rules implementing Title IV of the Dodd-Frank Act, [2] it explained that “[private fund advisers] will be subject to the same registration requirements, regulatory oversight, and other requirements that apply to other SEC-registered investment advisers. [read post]
24 Aug 2023, 6:31 am
When the Commission adopted rules implementing Title IV of the Dodd-Frank Act, [2] it explained that “[private fund advisers] will be subject to the same registration requirements, regulatory oversight, and other requirements that apply to other SEC-registered investment advisers. [read post]
4 May 2016, 5:00 am
Private Equity Real Estate has released its ranking of the top 50 real estate private equity fund managers. [read post]
16 Jan 2014, 6:08 am
Regulation D contains rules for issuing securities that provide exemptions from the more rigorous Securities and Exchange Commission (SEC) registration requirements and allows companies to issue securities without normal disclosures. [read post]
21 Oct 2015, 11:08 am
Among the key differences, the CM regime does not provide for controls by public authorities and only allows for private law enforcement. [read post]
1 Sep 2012, 2:09 pm
The private fund advisor is required to file a Form ADV to qualify for the exemption from investment adviser registration. [read post]
4 Oct 2011, 12:49 pm
Rule 506 is a safe harbor regulation which sets forth some conditions that if met, will assure an issuer that its securities offering is exempt from registration under Section 4(2) of the Securities Act of 1933. [read post]
15 Jul 2010, 1:25 pm
Specifically, we will be discussing the practical application of the following rules to both hedge fund managers and private equity fund managers: Rule 204-2 — Books and Records to Be Maintained by Investment Advisers Rule 204-3 — Written Disclosure Statements Rule 204A-1 — Investment Adviser Codes of Ethics Rule 205-3 — Exemption from the Compensation Prohibition of Section 205(a)(1) for Investment Advisers Rule 206(3)-2 — Agency Cross Transactions for… [read post]
4 Feb 2021, 9:05 pm
Registrar Corp., a Hampton, VA-based private company that helps businesses complying with FDA regulations, reports 59,420 fewer food facilities were registered with FDA in January 2021 than in December 2020. [read post]
23 Oct 2015, 1:07 pm
If registration is the government’s agreement that a term is appropriate for federal registration, equivalent to the government’s agreement that a term is appropriate for placement on a license plate, then there is no problem with refusing the registration. [read post]
29 Jan 2009, 2:44 pm
Cooperating with any request by the SEC for information or examination. 4. [read post]
31 Aug 2016, 6:00 am
The SEC charged Apollo with violations of Sections 203(e)(6), 206(2) and 206(4) of the Advisers Act and Rules 206(4)(7) and 206(4)-(8) promulgated thereunder. [read post]
22 Dec 2020, 7:33 am
The new rule provides an exemption from registration only with respect to the generic solicitation of interest. [read post]
