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...
26 FR 11896, intrastate offering, Investment Company Act, Legal History, Legislation, required to be registered, Rule 147, Rule 147A, SEC Rel. No. 33-4434, Section 24d, Section 3(a)(11)
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...
Form ADV, Investment Advisers, Investment Company Act, private fund, real estate fund, Section 202(a)(29), Section 3(c)(5)(C), umbrella registration
Keith Paul Bishop
