Search for: "Matter of Mallon"
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31 Mar 2017, 8:11 am
It is important for managers with questions on their trademarks and other intellectual property to discuss these matters with counsel. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP and focuses his legal practice on the investment management industry. [read post]
30 Dec 2011, 11:23 am
Fund Accounting and Financial Matters: Wash Sales. [read post]
18 Jan 2011, 6:13 pm
Bart Mallon, Esq. [read post]
29 Jun 2018, 10:10 am
ATS Registration Overview for Digital Asset Platforms Digital asset platforms located in the U.S. that facilitate trading and exchange of digital assets (which are deemed to be securities) are generally subject to securities laws requiring such platforms to be registered as a national securities exchange (“NSE”) or fall within an exemption from NSE registration. [read post]
27 Jun 2018, 8:08 am
Digital Assets and Restricted Securities Background Many recent Initial Coin Offerings (ICOs) and other token sales are being conducted through a Simple Agreement for Future Tokens (SAFT) or other private placement that exempts the token from registration as a security with the SEC. [read post]
3 Feb 2012, 6:11 am
The CFTC, in conjunction with the SEC with respect to certain matters, was tasked with creating these regulations from scratch. [read post]
10 Jul 2013, 9:41 am
Credibility matters in life, but it especially matters for journalists. [read post]
7 Jan 2013, 5:00 am
Gorman SECLaw.com a Securities Law Blog, by Mark Astarita Securities Docket by Bruce Carton Trust Matters by Charles H. [read post]
7 Jan 2013, 5:00 am
Gorman SECLaw.com a Securities Law Blog, by Mark Astarita Securities Docket by Bruce Carton Trust Matters by Charles H. [read post]
7 Jan 2013, 5:00 am
Gorman SECLaw.com a Securities Law Blog, by Mark Astarita Securities Docket by Bruce Carton Trust Matters by Charles H. [read post]
4 Nov 2009, 7:59 am
As a general matter most groups opposed the proposed rules for some reason or another. [read post]
9 Oct 2009, 1:51 am
No matter how sincere your intention, and you may have planned to highlight it mid presentation, if the Manager notes it first you are at a decided disadvantage. [read post]
19 May 2017, 9:49 am
Why does it matter? [read post]
15 Nov 2013, 5:24 pm
. **** Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive, and cost-effective legal solutions for financial services matters. [read post]
4 Oct 2010, 2:01 am
April – July 2011 (planned) During this time the SEC will be adopting finalized rules (taking into account public comments on the proposed rules) with respect to the following matters: reporting obligations on investment advisers related to the assessment of systemic risk exemption from registration for advisers to venture capital firms “family office” definition transition of mid-sized investment advisers (between $25 and $100 million in assets under management) from SEC… [read post]
13 Oct 2011, 4:29 pm
Bart Mallon can be reached directly at 415-868-5345. [read post]
27 Sep 2011, 2:05 am
Bart Mallon can be reached directly at 415-868-5345. [read post]
28 Feb 2010, 1:18 am
I am also eager to hear how the NFA views their audit process as I have seen a few of these lately and have many questions as to why the NFA pursued the matter in certain ways. [read post]
25 Jul 2011, 2:59 am
. **** Cole-Frieman & Mallon LLP is a law firm which provides advice hedge fund managers on state registration and compliance matters. [read post]
21 Nov 2010, 11:53 pm
If you are relying on this section, you shall not be deemed to be holding yourself out generally to the public in the United States as an investment adviser, within the meaning of section 202(a)(30) of the Act (15 U.S.C. 80b-2(a)(30)), solely because you participate in a non-public offering in the United States of securities issued by a private fund under the Securities Act of 1933 (15 U.S.C. 77a). **** Bart Mallon, Esq. is a hedge fund attorney and providers legal services to hedge fund… [read post]
