Dodd-Frank Private Equity
JOBS Act: Crowdfunding Intermediaries FAQs
Private Equity The SEC has released answers to frequently asked questions about the use of intermediaries pursuant to Title III of the JOBS Act, which can be individually cited as the Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act of 2012, or the CROWDFUND Act. The CROWDFUND Act creates a new exemption from Section 5 [...] Read more →
Comments Begin on JOBS Act
Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities, Uncategorized High profile groups have begun to submit comments on the JOBS Act to try and steer rulemaking in the correct direction. The Federal Regulation of Securities Committee, Business... Read more →
SEC Official Discusses Risks and Examination Process for Private Equity
Investment Advisers, Private Equity Carlo V. di Florio, who is the Director of the Office of Compliance Inspections and Examinations at the SEC recently gave his views as to key points the SEC will consider in the... Read more →
SEC Appoints Investor Advisory Committee
Investment Advisers, Private Equity, Public Companies and Securities, Uncategorized The SEC has announced the formation of a new Investor Advisory Committee required by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The 21-member committee... Read more →
JOBS Act Effect on Private Equity and Hedge Funds
Private Equity Some publications have predicted widespread changes in the way hedge funds and private equity funds are marketed. The speculation is based on the JOBS Act elimination of... Read more →
Some Ruminations on the JOBS Act’s Regulation D Provisions
Broker-Dealer, Private Equity, Public Companies and Securities The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty. While there are some open issues raised by the JOBS Act,... Read more →
Winning and Losing Provisions of the JOBS Act
Broker-Dealer, Private Equity, Public Companies and Securities The House of Representatives has passed the Senate version of the Jumpstart Our Business Startups Act, or JOBS Act, and President Obama is expected to sign the legislation. ... Read more →
JOBS Act on the Way
Banking, Broker-Dealer, Private Equity, Public Companies and Securities The House of Representatives has passed the Senate version of the Jumpstart Our Business Startups Act ,or JOBS Act, and President Obama is expected to sign the legislation. Some... Read more →
SEC Commissioner Urges Use of Exemptive Authority for Fund Managers
Investment Advisers, Private Equity SEC Commissioner Daniel M. Gallagher urged the use of exemptive authority by the SEC for certain fund managers in a speech given before the Investment Adviser Association’s... Read more →
SEC Issues Small Entity Compliance Guide on “Accredited Investor” Standard
Broker-Dealer, Private Equity, Public Companies and Securities, Uncategorized The SEC has issued a Small Entity Compliance Guide on the new “accredited investor” standard. Section 413(a) of the Dodd-Frank Act requires that the value of a... Read more →