Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Private Equity Funds: Registration (12)
Your search for Private Equity Funds: Registration returned 12 results.
Sorted by Date

8/06/2015 | Content area: Private Fund
By all measures the investment adviser industry shows healthy growth. That’s one of the conclusions in the recently released 15th annual Evolution Rev...
12/03/2014 | Content area: Private Fund
Private equity is benefitting from greater transparency but should consider further improving their disclosures, says SEC Commissioner Kara Stein. She...
8/11/2014 | Content area: Broker-Dealer | Private Fund
They were the words that jolted the private equity industry. SEC official David Blass spoke in April 2013, warning private equity fund advisers that t...
12/09/2013 | Content area: Private Fund
Although a bipartisan vote in the House last week passed a bill that would exempt private equity fund advisers from SEC registration, the measure's pr...
8/30/2012 | Content area: Investment Adviser | Private Fund
The SEC issued this no-action letter in reference to an entity that sort assurance it needn't register as an Investment Company fund.
3/05/2012 | Content area: Private Fund
Last year NASAA put forth a model rule for states to exempt from investment adviser registration certain private fund advisers. This month Massachuset...
11/07/2011 | Content area: Private Fund
You should be able to take the new Form ADV, Part 1 for a test drive beginning today - if you want to see how the SEC and FINRA updated the form with ...
10/31/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers to co...
7/20/2011 | Content area: Private Fund
This is a diagram created and shared with permission of the law firm Gibson Dunn. It provides a visual guide for IA registration consistent with Dodd-...
7/11/2011 | Content area: Private Fund
This is an SEC document request letter sent to an RIA that also manages private funds.
6/23/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC final rule from June 2011 that spells out exemptions for venture capital funds, private fund advisers with fewer than $150 million in ...
6/20/2011 | Content area: Private Fund
This week, at a June 22 open meeting, the SEC is expected to announce the deadline for registration of larger private equity fund advisers. Those firm...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US