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Exempt Reporting Entities

Expert sees regulatory jujitsu in Chairman's moves
States take fresh swipe at Reg D
Swindler took in firm's COO, feds claim
Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows
SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...
Dem Commissioner endorses redefinition of "shareholder of record"
State securities regulators opened 196 investigations of exempt private fund advisers last year, bringing 67 new enforcement cases, NASAA says in its latest annual report. ...
States want beneficial owners on Form D
Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering
The House Financial Services Committee approved legislation that would require family offices with assets above $750 million to file Form Ds with federal regulators. Offices ...

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