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SEC Issues Guidance on “Bad Actor” Rules

    Investment Management Alert On December 4, 2013, the SEC’s the Division of Corporation Finance issued additional Compliance and Disclosure Interpretations (the Guidance) on certain aspects of the “bad actor” ru ...
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Important Information for Managers with Reg D Offerings

  Investment Management Alert On September 23, 2013, the SEC’s new rules become effective that disqualify certain persons from being involved in Reg D private offerings relying on Rule 506. For clients who are currently con ...
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SEC Adopts JOBS Act Rules and Issues Additional Final and Proposed Rules Related to Regulation D Offerings

Investment Management Alert OVERVIEW In an open meeting on July 10, 2013, the Securities and Exchange Commission (SEC) issued final and proposed rules relating to offerings exempt from registration under the Securities Act of 1933 ...
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