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Exempt Reporting Entities

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 ...
Fresh enforcement as SEC weighs Reg D reforms
Experts see 'a move away from more access,' and toward more openness
SEC Commissioner Crenshaw
'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
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