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Private Equity Funds: Registration (12)
Your search for Private Equity Funds: Registration returned 12 results.
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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...

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