In a long-awaited move, the SEC released amendments to Form ADV, the uniform form used by investment advisers to register with, or report to, the SEC and state securities authorities. The changes are effective for filings...more
The Jumpstart Our Business Startups Act (JOBS Act) regulations, which were announced on July 10 and which become effective on September 23, promise a new era for capital raising for operating companies and private funds...more
8/12/2013
/ Accredited Investors ,
Advertising ,
Bad Actors ,
Filing Requirements ,
General Solicitation ,
JOBS Act ,
New Regulations ,
Private Equity ,
Regulation D ,
Rule 144A ,
Rule 156 ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC)
New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more