Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met. Amongst those requirements is that certain investments be made in qualifying...more
9/28/2015
/ Exemptions ,
Financial Institutions ,
Investment ,
Investment Adviser ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Investment Portfolios ,
No-Action Letters ,
Portfolio Managers ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Venture Capital
The integration doctrine must be considered when an issuer conducts multiple offerings in a short period of time. If applicable, multiple offerings are collapsed to determine if a safe harbor or exemption still applied. ...more