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With Form PF Compliance Dates Quickly Approaching, Advisers Managing $150 Million Or More Of Private Fund Assets Should Begin To Prepare
On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 204(b)-1 under the Investment Advisers Act of 1940 (the "Advisers Act") to require certain investment advisers that advise private funds to periodically complete and file the SEC’s new Form PF.1 Rule 204(b)-1 implements sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") and is intended to provide the SEC with information relevant to assessing the risks th
United States
24 Apr 2012
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Clean Out The Pipes: Concerns Over SEC Comments, Rules On Transactions
Private investment in public equity (PIPE) transactions involves a private placement of securities by an already-public company, with the issuer committing to register the securities for resale promptly after the private placement is completed.
United States
8 Aug 2007
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