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8 Oct 2020, 7:11 am
By John Filar AtwoodThe SEC voted 3-2 to propose a limited, conditional exemption from broker registration requirements for "finders" who assist issuers with raising capital in private markets from accredited investors. [read post]
21 Jan 2022, 3:05 am
Registration is possible here. [read post]
2 May 2012, 5:00 am
I’m attending Private Equity International’s Private Fund Compliance Forum. [read post]
22 Apr 2024, 1:11 pm
Private equity firms and their sponsored funds are not signatories to a portfolio company’s registration statements or prospectuses. [read post]
1 Feb 2023, 9:01 pm
”[11] Moreover, prior to the passage of Reg D, the Supreme Court had noted that determining whether registration is required or exempt turns on whether investors have access to “the kind of information which registration would disclose. [read post]
10 Oct 2011, 12:48 pm
” A private fund manager that solely advises venture capital funds (as defined in SEC regulations) qualifies for an exemption from investment adviser registration under the Investment Advisers Act of 1940. [read post]
23 Sep 2016, 6:00 am
DOS began taking online registration for the FY2018 Diversity Visa Program on 10/4/16. [read post]
18 Nov 2009, 7:07 am
That's about a 4 percent increase over the SEC's 2009 staffing levels. [read post]
6 Oct 2022, 2:29 am
On Friday, December 2, at 4 pm, the European Association of Private International Law (EAPIL) will hold an Online-Seminar on the Rome II Regulation. [read post]
1 May 2024, 12:30 pm
Consultancy: Academic Content Development and Facilitation, Refugee-Led Research Hub [info]- Submit application materials by 5 May 2024.Call for registration: 35th Online Course on International Refugee Law (English), 3-28 June 2024 [info]- Register by 6 May 2024.Call for participants: Teaching Refugee History, London, 24 June 2024 [info]- Submit expressions of interest by 10 May 2024.Short course: Modern Day Slavery: exploring the intersectionality of gender, migration and human… [read post]
4 Dec 2017, 3:41 am
Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors (SEC Litigation Release No. 24003) https://www.sec.gov/litigation/litreleases/2017/lr24003.htmPursuant to Securities and Exchange Commission v. [read post]
10 Nov 2015, 6:18 am
My friend told me, “No, this is a private placement so I don’t need to register. [read post]
26 Mar 2013, 5:14 am
For more information and registration: http://www.meetup.com/New-York-In-House-Counsel/events/109079382/ -> Click to subscribe to InhouseBlog's FREE Weekly Newsletter featuring in-house counsel news and jobs.The post Ethical Considerations for In-House Attorneys (4/10/13 – NYC, Free CLE) appeared on InhouseBlog.com. [read post]
24 Jan 2013, 10:40 am
Which private offerings are exempt from the new rule? [read post]
12 Jul 2021, 6:12 am
The post 4 Legalities to Know and Address When Getting a Motorcycle appeared first on pissd.com. [read post]
21 Dec 2009, 6:40 am
Private investments that claim to be exempt from registration with the Securities and Exchange Commission are a hot topic these days. [read post]
18 Jan 2012, 2:49 pm
Registration is on a first-come-first-served basis. [read post]
20 May 2013, 9:43 am
Here is the relevant WAC provision in the proposed rules regarding exemption for qualifying private fund managers: WAC 460-24A-071 Registration exemption for investment advisers to private funds. (1) Exemption for private fund advisers. [read post]
21 Sep 2017, 1:33 pm
Indeed, avoiding investment company registration under the Act is often one of the critical first steps for a new private fund because it allows the fund to avoid the Act’s requirements of SEC registration, ongoing disclosure, disinterested directors, and its prohibitions on affiliated transactions and trading activities such as short sales and derivatives trading. [read post]
18 Nov 2011, 6:42 am
Private shares fraud? [read post]
