Search for: "Registration Private (4)"
Results 1 - 20
of 2,428
Sorted by Relevance
|
Sort by Date
31 Aug 2011, 4:49 pm
Previously, in the first installment of this series, I have written about the fact that even when a private fund manager may be exempt from SEC registration, it still may be subject to a registration requirement with its own home state. [read post]
23 Oct 2023, 11:00 pm
Form F-1, F-3, and F-4 Registration Statements Checklist Quickly compare the most common forms for FPI offerings. [read post]
23 Aug 2011, 9:23 pm
Previously, I have written about the fact that even when a private fund manager may be exempt from SEC registration, it still may be subject to a registration requirement with its own home state. [read post]
7 Sep 2011, 7:41 pm
Previously, in the first installment of this series, I have written about the fact that even when a private fund manager may be exempt from SEC registration, it still may be subject to a registration requirement with its own home state. [read post]
7 Sep 2011, 7:41 pm
Previously, in the first installment of this series, I have written about the fact that even when a private fund manager may be exempt from SEC registration, it still may be subject to a registration requirement with its own home state. [read post]
11 Sep 2011, 8:54 pm
Previously, in the first installment of this series, I have written about the fact that even when a private fund manager may be exempt from SEC registration, it still may be subject to a registration requirement with its own home state. [read post]
16 Aug 2011, 5:17 pm
§ 517.021(9). 4. [read post]
23 May 2010, 8:31 pm
‘‘(4) MAINTENANCE OF RECORDS. [read post]
12 Jan 2012, 11:51 am
An administrative order by the Indiana Securities Division extends a 2008 policy statement on private equity/venture capital funds and investment adviser registration by providing a post-Dodd-Frank Act IA registration exemption for the funds following that Act's elimination of the Section 203(b)(3) de minimis exemption for investment advisers.Effective January 9, 2012 and until the Division can adopt a rule for these funds, no enforcement action will be taken against… [read post]
4 Sep 2011, 1:54 pm
Recently, I posted a summary of the status of state investment advisor registration requirements for private fund managers in the Midwest in wake of adoption of the Dodd-Frank Act. [read post]
12 Jun 2014, 7:33 am
These state actions reflect a continuing trend to exempt private fund advisers from registration under certain carefully circumscribed conditions. [read post]
11 May 2012, 8:24 am
Private fund advisers are exempt from investment adviser registration requirements if neither the advisers nor their advisory affiliates are subject to “bad boy” disqualification provisions under Rule 262 of federal Regulation A, and the advisers electronically file through the IARD the SEC-filed reports and amendments required for exempt reporting advisers by Rule 204-4 of the Investment Advisers Act of 1940, as well as a $300 fee. [read post]
29 Apr 2015, 9:46 am
Under the new rule, a private fund adviser is exempt from Delaware Securities Act unlawful conduct provisions if: (1) neither the private fund adviser nor any advisory affiliates are subject to an event that would disqualify an issuer under federal Regulation D, Rule 506(d)(1); (2) the private fund adviser files with the Director through the IARD each report and amendment that an exempt reporting adviser is required to filed with the SEC under SEC Rule 204-4; and… [read post]
9 Mar 2012, 11:12 am
Section 4.13(a)(4) exempted operators of private funds offered solely to sophisticated investors from registering as a CPO. [read post]
4 Sep 2012, 12:44 pm
Commodity Exchange Act for private investment funds provided by CFTC Rule 4.13(a)(4). [read post]
30 Sep 2011, 5:58 am
She can switch to ‘private’ registration, where a third party’s name is substituted for hers in the public databases of domain registrants. [read post]
18 Jun 2009, 9:51 pm
SEC. 4. [read post]
3 Jan 2012, 1:40 pm
An exemption from investment adviser registration was proposed for private fund advisers by the California Department of Corporations. [read post]
13 Aug 2020, 4:52 pm
S. 14-208.6(4)a. [read post]
16 Jan 2012, 7:03 pm
Details of Section 4(2) of ’33 Act - Private Offering Exemption Section 4(2) of the Securities Act exempts from registration “transactions by an issuer not involving any public offering. [read post]
