The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more
1/24/2018
/ Beneficial Owner ,
Benefit Plan Sponsors ,
CFTC ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
CPO ,
Cross-Border Transactions ,
Department of Labor (DOL) ,
Derivatives ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Deadlines ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment ,
Form 13F ,
Form ADV ,
Form D Filing ,
Form PF ,
Investment Adviser ,
Investment Funds ,
Investors ,
NFA ,
Offerings ,
Private Funds ,
Private Placements ,
Registered Investment Advisors ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Securities Violations ,
Self-Certification ,
Verification Requirements ,
Virtual Currency
The Securities and Exchange Commission (SEC) has proposed a suite of amendments to Regulation D, Form D and Rule 156 under the Securities Act of 1933 (Securities Act) (Proposed Rules). According to the SEC, the Proposing...more
The SEC has amended Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (Securities Act) to (1) permit, in certain circumstances, an issuer to engage in general solicitation and general advertising in...more
7/28/2013
/ Accredited Investors ,
Advertising ,
Bad Actors ,
Broker-Dealer ,
Dodd-Frank ,
Form D Filing ,
Fund Managers ,
General Solicitation ,
Rule 144A ,
Rule 506 Offerings ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media