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Advertising: General Solicitation (22)
Your search for Advertising: General Solicitation returned 22 results.
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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...
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...
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...
11/18/2013 | Content area: Investment Adviser
A source told us earlier this month that you would not be denied the exemption to sell private offerings via general solicitation if one or two non-ac...
11/04/2013 | Content area: Investment Adviser
Think e-mail in 1991. The Internet in 1993. Predictions flowed in about how these new forms of communication wouldn't last.Now imagine general solicit...
7/22/2013 | Content area: Investment Adviser
You have flexibility in how you ascertain that an investor lured by an ad for your private fund fits within the definition of an "accredited investor,...
7/22/2013 | Content area: Investment Adviser
Perhaps your reaction to the SEC's final rule permitting general solicitation of private offerings matches that of an official at a Connecticut adviso...
7/22/2013 | Content area: Investment Adviser
It's been noted that advisers may stay away from the coming freedom to advertise private offerings because of perceived burdens that a companion propo...
4/08/2013 | Content area: Investment Adviser
Two recent “no-action” letters from the SEC bless advisers that use online portals to unite accredited investors with startup funds and business oppor...
12/17/2012 | Content area: Investment Adviser
There has been a big increase this year in Internet domain names that contain the word "crowdfunding," according to an analysis by state and Canadian ...
11/26/2012 | Content area: Investment Adviser | CPO/CTA | Private Fund
Many believe it's only a matter of time before the SEC finalizes its general solicitation proposal, opening up private fund offerings to advertising (...
10/22/2012 | Content area: Investment Adviser
Its views aren't binding on the SEC but the agency's Investor Advisory Committee agreed to send recommendations to commissioners to toughen investor p...


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