Contact us with your California corporate & securities law questions (949) 353-6347 or Contact us here

Investment Companies And Intrastate Offerings

Recently, my eye caught the following statement in the SEC's Intrastate Offering Exemptions: A Small Entity Compliance Guide for Issuers:

Issuers registered or required to be registered under the Investment Company Act of 1940 are not eligible to...

Legislation, Legal History, required to be registered, SEC Rel. No. 33-4434, Section 24d, 26 FR 11896, intrastate offering, Investment Company Act, Rule 147, Rule 147A, Section 3(a)(11)

Real Estate Fund Advisers And Penumbra Registration

Last August, the Securities and Exchange Commission adopted amendments to Form ADV, the form used by investment advisers to register with the SEC and with the states.  Included in these amendments were changes to allow multiple private fund adviser...

private fund, real estate fund, Form ADV, Investment Advisers, Investment Company Act, Section 202(a)(29), Section 3(c)(5)(C), umbrella registration

1

ANY QUESTIONS REGARDING CALIFORNIA CORPORATE AND SECURITIES LAW? CONTACT US DIRECTLY

We offer expert advice with the intricacies of California law.

Our years of experience and expertise allow us to help clients navigate the business laws in California.

CONTACT US

Get the latest news and analysis about California Corporate & Securities law. Subscribe to our newsletter today!

We respect your email privacy

ABOUT OUR AUTHOR

30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
 Contact me
Learn More About Keith

RECOGNITION

JDSupra 2018

nominee-badge

Get the latest news and analysis about California Corporate & Securities law. Subscribe to our newsletter today!

We respect your email privacy

CATEGORIES

see all

YOUTUBE

FACEBOOK