In the Summer 2014 issue of the PE Newsletter we reviewed a private placement platform set up by ACE Portal, in partnership with the New York Stock Exchange, to facilitate the private placement of securities by issuers. The...more
5/29/2015
/ Accredited Investors ,
Broker-Dealer ,
Corporate Counsel ,
Crowdfunding ,
Financial Industry Regulatory Authority (FINRA) ,
Fundraisers ,
NYSE ,
Private Equity ,
Private Offerings ,
Private Placements ,
Regulation D ,
Securities and Exchange Commission (SEC)
An enduring challenge of private equity is fund raising, whether in connection with fund formations, portfolio company financings or limited partner secondary sales. The recent modification of the SECs rules on general...more
Most private equity funds that are subject to the U.S. securities laws rely on Rule 506(b) of Regulation D, a safe harbor under Section 4(a)(2) of the Securities Act of 1933 (Securities Act), in forming funds and soliciting...more