Search for: "Registration Private (3)"
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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]
28 Mar 2013, 8:09 am
The registration form is available here. [read post]
7 Jun 2022, 8:12 am
Have any suggestions for the 3 Count? [read post]
7 Nov 2008, 8:54 am
On Monday, I identified four problem areas to watch out for on Election Day: 1) lines at the polls, 2) voting equipment, 3) voter registration lists, and 4) provisional and absentee ballots. [read post]
7 Nov 2008, 8:54 am
On Monday, I identified four problem areas to watch out for on Election Day: 1) lines at the polls, 2) voting equipment, 3) voter registration lists, and 4) provisional and absentee ballots. [read post]
4 Jan 2012, 9:41 am
"Private fund advisers to certain 3(c)(1) funds. [read post]
15 Mar 2010, 1:34 pm
Chicago Partner Jerry Siegan represented ONE Bio, Corporation (OTCBB: ONBI) in connection with a Securities Purchase and Registration Rights Agreement pursuant to which the Company sold to a group of private and institutional investors of an aggregate of $3 Million of the company’s secured 8% convertible notes and warrants to purchase aggregate of 444,298 shares [read post]
27 Jul 2011, 6:31 am
Also, the investment advisers must: (1) have been exempt from registration under Section 203(b)(3) of the Investment Advisers Act of 1940 as of July 20, 2011; and (2) be subject to SEC Rule 203-1(e) allowing an exemption from SEC registration until March 30, 2012 for investment advisers formerly exempt by Section 203(b)(3) of the 1940 Act that would otherwise need to register with the SEC by July 21, 2011. [read post]
14 Jul 2014, 2:43 pm
However, the SEC staff has further to go before providing guidelines to the industry on the broker dealer registration issues posed by deal fees that private equity firms sometimes collect on transactions. [read post]
22 Dec 2015, 10:30 am
The regulations were issued on November 3, 2015, and the National Database Registry (the “Registry”) required by Colombian data protection laws was enabled on November 9, 2015. [read post]
2 May 2018, 7:30 am
There are good arguments to be made on both sides of the registration debate for real estate funds. [read post]
21 Nov 2016, 3:01 am
How long will the registration last? [read post]
15 May 2012, 11:00 am
On May 11, 2012, the Securities and Exchange Commission ("SEC") issued Instructions for Emerging Growth Companies ("EGC") to submit confidential draft registration statements or foreign private issuer non-public draft registration statements to the SEC. [read post]
31 Jan 2018, 4:57 am
Registration is now open for the McGuireWoods & RSM US 15th Annual Healthcare and Life Sciences Private Equity and Finance Conference, which will take place February 21–22. [read post]
13 Jan 2016, 7:35 am
Registration is now open for the McGuireWoods & RSM US 13th Annual Healthcare and Life Sciences Private Equity and Finance Conference, which will take place February 23-24. [read post]
7 Dec 2010, 10:07 am
Instead, companies rely on a set of rules known as Regulation D, which provide companies raising capital with an exemption from registration with the SEC. [read post]
25 Jan 2012, 5:00 am
The SEC agreed, subject to the following limits: The filing adviser and each relying adviser advise only private funds and separate account clients that are qualified clients (as defined in Advisers Act rule 205-3) and are otherwise eligible to invest in the private funds advised by the filing adviser or a relying adviser and whose accounts pursue investment objectives and strategies that are substantially similar or otherwise related to those private funds. [read post]
20 Jan 2020, 5:25 am
The following URL provides full information and registration details: https://www.eventbrite.com/e/the-development-of-private-international-law-in-the-uk-post-brexit-tickets-89779245139 Date: Friday 28th February 2020, 9am-5pm. [read post]
22 Apr 2010, 5:00 am
(Each investor in a 3(c)(7) private investment fund must be Qualified Purchaser.) [read post]
