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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]
23 Oct 2015, 1:07 pm
There are significant differences between the benefits of registered and unregistered marks—nationwide scope, presumption of validity/incontestability after 5 years, the ability to use a US registration to secure rights under foreign registration systems, the ability to invoke counterfeiting laws. [read post]
5 Mar 2015, 4:08 pm
Securities Laws: How to evaluate broker-dealer, investment company and investment adviser registration requirements. [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]
1 May 2013, 12:58 pm
These are my notes from the Private Fund Compliance Forum 2013. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
30 Nov 2010, 7:21 am
5. [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]
29 May 2023, 6:00 am
► Singapore-based Asian Business Law Institute (ABLI) and the Permanent Bureau of the Hague Conference on Private International Law (HCCH) announced open registration for their third joint webinar: Cross-border Commercial Dispute Resolution – HCCH 1965 Service Convention. [read post]
9 Feb 2012, 2:00 am
The majority of the regulations to implement the Dodd-Frank Act have yet to become effective, with the exception of hedge fund adviser registration, discussed in Section 5 below. [read post]
22 Jan 2018, 2:29 pm
” Title LXXIV, section 74002 of the FAST Act amended the exemption from investment adviser registration for any adviser solely to “private funds” with less than $150 million in assets under management in Advisers Act section 203(m) by excluding the assets of “small business investment companies” when calculating “private fund assets” towards the registration threshold of $150 million. [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]
13 Apr 2022, 2:24 pm
Thursday, May 12 2022 | 5:30 – 6:30 p.m. [read post]
29 Jan 2009, 2:44 pm
However, the purpose is the same: to make it clear that the Securities and Exchange Commission has the authority to require hedge fund registration. [read post]
28 Dec 2011, 2:11 pm
The changes to the rule will extend the current exemption from registration for investment advisers who are deemed private advisers for an additional 90 days. [read post]
13 Feb 2014, 1:45 pm
Do broker-dealer registration requirements apply to EB-5 offerings that are exempt from U.S. securities laws? [read post]
6 Feb 2014, 7:53 am
Advisers who relied on an exemption or exclusion from CPO registration under CFTC Regulation 4.5, 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or an exemption from CTA registration under 4.14(a)(8) and filed a notice with the NFA must affirm the exemption or exclusion annually within 60 days after the end of the calendar year. [read post]
29 Jun 2020, 4:33 pm
SIM card registration undermines peoples’ ability to communicate, organize, and associate with others anonymously. [read post]
22 Jun 2022, 3:30 am
In addition, the signatories to that letter argue that a public company’s ability under the proposed rules to use an EPA-published emission factor in its calculations in the absence of activity data will help “some privately held companies with data collection challenges, like small family farm operations, that supply registrants responsible for Scope 3 disclosures. [read post]
