On March 12, 2025, the SEC Division of Corporation Finance published a no-action letter that facilitates compliance with Regulation D Rule 506(c), which permits general solicitation, for offerings with certain minimum...more
The United States represents a large source of potential capitalthat non-U.S. fund managers often find impossible to ignore. To assist non-U.S. fund managers, we have prepared a checklist that sets out key considerations for...more
7/6/2022
/ Accredited Investors ,
Advertising ,
Blue Sky Laws ,
CFTC ,
Due Diligence ,
Employee Retirement Income Security Act (ERISA) ,
Form D Filing ,
Fund Managers ,
Investment Company Act of 1940 ,
Investors ,
Non-US Entities ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Tax Exemptions ,
Venture Capital ,
Volcker Rule
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted an expanded definition of “accredited investor” in Rule 501(a) under the Securities Act of 1933, as amended (Securities Act).
Part of an effort “to...more
9/16/2020
/ Accredited Investors ,
Capital Markets ,
Certifications ,
Family Offices ,
Federal Register ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investors ,
Limited Liability Company (LLC) ,
Private Funds ,
Rural Business Investment Companies (RBICs) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)