Search for: "Registration Private (3)"
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22 Apr 2010, 5:00 am
(Each investor in a 3(c)(7) private investment fund must be Qualified Purchaser.) [read post]
10 Feb 2015, 12:40 pm
Registration spots are still available. [read post]
1 Feb 2012, 5:00 am
As a result of private equity fund adviser registration, the Commission will have hundreds of new firms to oversee and inspect. [read post]
20 Jan 2012, 3:34 pm
Now any adviser that manages one or more private funds (and meets the first 3 requirements) qualifies for the exemption, so long as neither the fund manager nor any of its affiliates are subject to disqualification under the federal “bad actor” provisions. [read post]
24 Jun 2014, 7:00 am
The staff said its position is limited to the registration requirements of Exchange Act Section 15(a). [read post]
24 Jan 2013, 10:40 am
Which private offerings are exempt from the new rule? [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]
25 Sep 2018, 3:47 pm
And, congratulate yourself on completing your registration. [read post]
26 Jul 2006, 12:35 pm
An outstanding roster of speakers and experts from the USPTO and the private sector will participate. [read post]
8 Dec 2020, 6:29 am
On November 2, 2020, the Securities and Exchange Commission voted 3-2 to adopt amendments to “simplify, harmonize, and improve certain aspects” of the framework for offerings exempt from Securities Act registration. [read post]
29 Apr 2013, 5:30 am
On the bright side, Blass indicates that the he would consider a rule providing a broker-dealer registration exemption written specifically for private fund advisers. [read post]
21 Nov 2016, 12:43 pm
A securities offering exempt from registration with the SEC is sometimes referred to as a private placement or an unregistered offering. [read post]
1 Dec 2011, 3:34 pm
The 3(c)(1) exemption exempts from Investment Company Act registration any fund with 100 or fewer investors. [read post]
22 Dec 2009, 5:14 am
These offerings, with limited registration and regulatory oversight have been the cornerstone of private capital raising for decades. [read post]
10 Apr 2012, 7:23 am
Late-stage private companies contemplating an M&A or IPO exit often undertake so-called "dual-track" processes in which they simultaneously file an IPO registration statement with the SEC and hold discussions with prospective acquirors. [read post]
4 Feb 2019, 11:48 am
Registration is now open for the McGuireWoods & RSM US 16th Annual Healthcare and Life Sciences Private Equity and Finance Conference, which will take place February 20–21. [read post]
16 May 2013, 5:00 am
The David Blass speech on private funds and broker-dealer registration highlights the issue. [read post]
20 Jul 2010, 12:35 pm
The Act includes expansive financial industry regulatory reforms, including the "Private Fund Investment Advisers Registration Act of 2010" (the "PFIARA"). [read post]
2 Jun 2016, 6:00 am
“Blackstreet clearly acted as a broker without fulfilling its registration obligations. [read post]
13 Jun 2012, 5:00 am
Hedge funds (53%) and private equity funds (24%) comprised the majority of private fund assets managed by registered advisers. [read post]
