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Advertising: General Solicitation (44)
Your search for Advertising: General Solicitation returned 44 results.
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10/11/2018 | Content area: CPO/CTA
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KIS...
10/09/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) tha...
11/17/2016 | Content area: Investment Adviser
The menu of capital-raising choices available today to small businesses presents more flexibility and more alternatives than ever before. As the effe...
5/18/2016 | Content area: Investment Adviser | Broker-Dealer
I also very much welcome your discussion this afternoon of Regulation D, one of the primary engines of capital formation in this country. Approximate...
11/19/2015 | Content area: Broker-Dealer
While it is obviously too soon to assess the impact of these recent actions, the Commission staff has been closely following the effects of regulatory...
10/30/2015 | Content area: Broker-Dealer
Next year, you may see companies offering crowdfunding investment opportunities to retail investors after SEC commissioners Oct. 30 revised its rules....
10/28/2015 | Content area: Broker-Dealer
We have an obligation to implement them in a way that protects individual investors, promotes a general confidence in the new markets, and is workable...
10/28/2015 | Content area: Broker-Dealer
Defendants have engaged in a deceptive scheme on crowdfunding websites and the company's website to solicit investors to purchase overriding royalty i...
8/27/2015 | Content area: Investment Adviser
Broker-dealers aren’t alone in being able to satisfy a component of general solicitation rules by claiming a pre-existing relationship. Recent SEC upd...
6/02/2015 | Content area: Investment Adviser | Broker-Dealer
In remarks at the Cato Summit on Financial Regulation, Commissioner Piwowar raises issues like accredited investors and choosing Reg D over Reg A.
4/30/2015 | Content area: Investment Adviser | Broker-Dealer
First, I’d like to explore the debate over short-termism and capital formation in our markets. Are our financial markets supporting the development of...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Users of Regulation D (§§230.500 et seq.) should note the following: (a) Regulation D relates to transactions exempted from the registration requirem...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Accredited investor. Accredited investor shall mean any person who comes within any of the following categories, or who the issuer reasonably beli...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The following conditions shall be applicable to offers and sales made under Regulation D (§230.500 et seq. of this chapter): (a) Integration. All sal...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Exemption. Offers and sales of securities by an issuer that satisfy the conditions in paragraph (b) or (c) of this section shall be deemed to be t...
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...
9/10/2014 | Content area: Private Fund
It has been more than a year since the U.S. Securities and Exchange Commission published final rules allowing sponsors to broadly advertise and promot...
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...
1/27/2014 | Content area: Investment Adviser
For the second time this month, the SEC has issued new FAQs to help private fund advisers functioning under new rule 506 changes (IA Watch, Jan. 13, 2...
1/20/2014 | Content area: Investment Adviser
No signs presented themselves that an SEC exam would be in the offing, but a New York CCO took OCIE's 2013 exam priorities list and folded its items i...


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