News & Analysis as of

Hedge Funds Rule 506 Offerings

Stinson - Corporate & Securities Law Blog

Hedge Funds Begin General Solicitation

According to this article dated October 4, 2013, eight hedge funds had filed Form D’s indicating they were engaged in general solicitation. My unscientific review of 25 Form D’s (all filers, not just hedge funds) filed...more

Stinson - Corporate & Securities Law Blog

Current SEC Priorities Regarding Hedge Fund Managers

Norm Champ, the SEC’s Director of the Division of Investment Management, recently gave a speech addressing the SEC’s priorities regarding hedge fund managers. ...more

Broker-Dealer Compliance + Regulation

SEC to Focus on Private Fund Adviser Compliance Procedures in Rule 506(c) Offerings

With general solicitation and general advertising on the horizon, private fund advisers should review their policies and procedures to determine whether they are reasonably designed to prevent the use of fraudulent or...more

Miller & Martin PLLC

SEC Eliminates Ban on General Solicitation in Private Offerings

Miller & Martin PLLC on

On July 10, 2013, the SEC took the following actions that are likely to have a significant impact on hedge funds, private investment funds and other companies that raise capital through private offerings of securities...more

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