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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 ...
Fresh enforcement as SEC weighs Reg D reforms
Experts see 'a move away from more access,' and toward more openness
'Reg D... is designed to balance the demand and supply side'
Lapse in forming an Investor Advisory Committee an issue
Naya Ventures neglected to take steps to ensure that an accounting firm was engaged to perform an annual audit as the partnership agreement required
$125,000 in fines for failing to obtain client consent
Barton Stuck is currently free on bond and is awaiting sentencing
This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...
The net effect of these transactions was that MVP and its personnel were paid, either directly or through the Broker, up-front fees of between eleven ...

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