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11 Sep 2011, 8:54 pm
In addition, fund managers in Maryland registered with the SEC must make a notice filing with the Maryland Securities Division. 6. [read post]
23 Jul 2011, 5:55 pm
It will then take (at least) another 6 months for the SEC to issue final rules regarding record-keeping and reporting and to clarify the definition of “private equity fund. [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]
16 Aug 2011, 5:17 pm
Private fund managers are exempt if they have less than 6 clients in Georgia within the preceding 12 months. [read post]
23 May 2010, 8:31 pm
‘‘(6) EXAMINATION OF RECORDS. [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]
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]
8 Feb 2023, 1:22 pm
See the full programme and the registration form. [read post]
8 Feb 2023, 6:07 pm
Program and registration are here. [read post]
17 May 2011, 5:00 am
” The SEC would have 6 months to define the term. [read post]
15 Dec 2023, 7:00 am
Lottery registration opens on March 6 and will be open for 3 weeks. [read post]
18 Jun 2009, 9:51 pm
SEC. 6. [read post]
27 Apr 2011, 7:29 pm
This exemption shall not be available to any investment adviser when one or more of the investment adviser’s private funds accepts investments from non-natural persons for the purposes of evading registration or the conditions or limitation explicitly stated in this section. 6. [read post]
18 Dec 2011, 4:47 pm
Previously, I posted a summary of the status of state investment advisor registration requirements for private fund managers in the Northeastin wake of adoption of the Dodd-Frank Act. [read post]
10 Nov 2009, 6:16 am
Transition Period for Registration The Committee approved an amendment offered by Representative Suzanne Kosmas (D-FL) to allow a one-year transition period from the time the bill becomes law for investment advisers to register. 6. [read post]
6 May 2011, 5:56 pm
subscribe to my FREE e-course “6 ways to Finance A Feature Film” by visiting http://firemark.com/minicourse [read post]
12 Dec 2010, 1:47 pm
New Advisers Act Section 203(m)-1 provides an exemption from registration with the SEC to those groups who only advise one or more qualifying private funds and manages less than $150 million in private fund assets. [read post]
25 Sep 2018, 3:47 pm
Today has National Voter Registration Day—a good time to remind everyone register to vote so that all eligible voters can make their voices heard on Election Day (which, by the way, is Tuesday, November 6). [read post]
16 Jan 2012, 7:03 pm
Some Background on Securities Registration Exemptions Under the Securities Act of 1933 (the ’33 Act), a private securities offering is exempt from the registration statement and prospectus requirements of public securities offerings. [read post]
