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Hedge Funds: Ad Sales (26)
Your search for Hedge Funds: Ad Sales returned 26 results.
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9/18/2014 | Content area: CPO/CTA | Private Fund
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private f...
7/14/2014 | Content area: Private Fund
Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for the...
5/26/2014 | Content area: Broker-Dealer | Private Fund
A year has passed since SEC official David Blass created a stir by reminding the industry that receiving transaction-based compensation may require a ...
9/30/2013 | Content area: Private Fund
It was the speech that created a stir. This Spring, David Blass, chief counsel in the SEC's Division of Trading and Markets, put the industry on notic...
7/21/2013 | Content area: Private Fund
Here are the current criteria for an accredited investor under SEC Reg D rules for the sale of unregistered securities: Natural persons: Individuals w...
7/15/2013 | Content area: Private Fund
More than 15 months after Congress directed the SEC to pass a rule permitting private offerings to be advertised, the Commission last week acted in a ...
7/10/2013 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's final rule from 2013 removing the ban on solicitation for certain private fund offerings under rule 506.
7/10/2013 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the lifting of the ban on s...
5/06/2013 | Content area: Private Fund
An answer out of London last week should prompt non-E.U. private fund advisers wishing to sell into the U.K. to say "cheers." They won't have to regis...
4/29/2013 | Content area: Private Fund
The anticipated approval of a rule eliminating the prohibition on the general solicitation of private funds is already creating jobs - for entrepreneu...
11/19/2012 | Content area: Private Fund
All signs point to a relaxation of the ban on general solicitation of private fund offerings as long as sales go to accredited investors. But should a...
9/10/2012 | Content area: Private Fund
Dozens of comments have flooded into the SEC in the days following the release of its proposed rule that would permit general solicitation of private ...
9/03/2012 | Content area: Private Fund
You have until October 5th to comment on a new proposed rule from the SEC that would implement Congress's intent in passing the JOBS Act this Spring. ...
8/30/2012 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's proposal rule from 2012 to eliminate the prohibition against general solicitation and general advertising in rule 506 and rule 144A ...
7/16/2012 | Content area: Private Fund
Congress gave the SEC until last week to eliminate the prohibition against general solicitation and general advertising in securities offerings under ...
6/04/2012 | Content area: Private Fund
Even if you don't consider your firm an alternative investment house, it could be engaging in some hedging strategies around the edges or holding on t...
5/28/2012 | Content area: Private Fund
It's taken three years but the CFA Institute May 18th approved its guidance statement for alternative investment strategies and structures. Firms that...
4/09/2012 | Content area: Private Fund
By now you may have heard that President Obama last week signed into law the JOBS Act - which stands for Jumpstart Our Business Startups - and that it...
4/04/2012 | Content area: Investment Adviser
This is the so-called JOBS Act, or Jumpstart Our Business Startups Act from 2012. This is legislation that would ease the general solicitation rule, f...
2/27/2012 | Content area: Private Fund
This is a 1997 no-action letter from the SEC to Lamp Technologies that covers use of a web site and advertising and solicitation of a private fund off...


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