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Accredited Investors › Investment

Accredited Investors are a class of investors whose purchases are exempt from certain SEC registration requirements. Rule 501 of Regulation D lists eight categories of investors that qualify as accredited... more +
Accredited Investors are a class of investors whose purchases are exempt from certain SEC registration requirements. Rule 501 of Regulation D lists eight categories of investors that qualify as accredited investors.  less -
Farrell Fritz, P.C.

Making Finders Keepers: Unregistered Broker-Dealers and the Need for Reform

Farrell Fritz, P.C. on

Identifying potential investors is one of the most difficult challenges facing early-stage companies.  The range of amounts sought at this stage is typically greater than what could be provided by the founders and friends and...more

Mayer Brown Free Writings + Perspectives

SEC Rulemaking Trends to Watch in 2024

Mayer Brown Free Writings + Perspectives on

From climate change disclosure rules to private company transparency measures, the year ahead promises to be a busy one for securities lawyers. Just as we would tell an issuer sharing projections to accompany those with...more

Stinson - Corporate & Securities Law Blog

SEC Issues Staff Report on Accredited Investor Definition (UPDATE)

Stinson - Corporate & Securities Law Blog on

The SEC issued a staff report on the accredited investor definition. The Dodd-Frank Wall Street Reform and Consumer Protection Act directs the Commission to review the accredited investor definition as it relates to natural...more

Freeman Law

Accredited Investor Status in Federal Securities Law

Freeman Law on

The term “accredited investor” is frequently heard in the field of financial investing. But many investors lack an in-depth understanding of the implications of accredited investor status or how it is acquired, especially...more

Stikeman Elliott LLP

OSC Expands Accredited Investor Exemption to Include “Self-Certified Investors” With Certain Professional or Academic...

Stikeman Elliott LLP on

On October 25, 2022, the Ontario Securities Commission (OSC) published Ontario Instrument 45-507, being a temporary exemption to the prospectus requirement for the distribution of securities to “Self-Certified Investors” (the...more

Gerald Nowotny - Law Office of Gerald R....

Family Affair – Introducing Family Office Life Annuity™ (aka FOLA™)

Gerald Nowotny - Law Office of Gerald R.... on

Most of you know by now that I grew up in the Panama Canal Zone which no longer exists as of 1999. In that respect, the transition left me as a man without a country. My father (of blessed memory) when referring to kids...more

Farrell Fritz, P.C.

Protecting the Protected: SEC Proposes New Safeguards for Private Fund Investors

Farrell Fritz, P.C. on

The Securities and Exchange Commission just proposed new rules to protect investors in private investment funds. The proposed rules would require private fund advisers to disclose certain information and avoid certain...more

Mintz Edge

New Rule 148 To Exempt “demo Days” From General Solicitation

Mintz Edge on

Effective as of March 15, 2021, the Securities and Exchange Commission (the “SEC”) adopted the new Rule 148 which permits entrepreneurs to speak more openly about opportunities for investment in their new enterprises at “Demo...more

Farrell Fritz, P.C.

“Demo Days are Here Again”: Part Two of Exempt Offering Amendments Deeper Dive

Farrell Fritz, P.C. on

At the 1932 Democratic National Convention, the live band at one point burst into “Happy Days are Here Again”, FDR’s favorite, drawing raucous cheers from convention delegates.  It went on to become the Democratic Party’s...more

Davis Wright Tremaine LLP

SEC Approves Changes to Accredited Investor Definition

Davis Wright Tremaine LLP on

The Securities and Exchange Commission (SEC) recently adopted changes to the definition of an accredited investor that could open up new possibilities for private capital investments, including those in family businesses. The...more

Farrell Fritz, P.C.

Private Market Investing Not Just for the Wealthy Anymore?

Farrell Fritz, P.C. on

The Securities Exchange Commission expanded the definition of “accredited investor” by adding new categories of investors that have sufficient investment knowledge and expertise to participate in private investment...more

Dickinson Wright

SEC Expands Accredited Investor Definition, Giving Impetus to Private Markets

Dickinson Wright on

Summary: On August 26, 2020, the Securities and Exchange Commission (the “SEC”) announced that it has adopted amendments to the definition of accredited investor under Regulation D of the Securities Act of 1933 (the...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts Amendments to Definitions of ‘Accredited Investor’ and ‘Qualified Institutional Buyer’

Kramer Levin Naftalis & Frankel LLP on

On Aug. 26, the Securities and Exchange Commission adopted amendments to the definitions of “accredited investor” and “qualified institutional buyer.” ...more

Stinson LLP

SEC Proposal Paves the Way for Contemporaneous 506(b)/506(c) Fund Raising Strategies

Stinson LLP on

The Securities and Exchange Commission (SEC) announced the proposal of certain amendments that would “simplify, harmonize and improve certain aspects of the exempt offering framework.”...more

Orrick - On the Chain

Orrick Hosts Fireside Chat with SEC Commissioner Hester Peirce

Orrick - On the Chain on

On March 2, Orrick had the pleasure of hosting SEC Commissioner Hester Peirce for a fireside chat discussion at our San Francisco office on the state of blockchain and cryptocurrency, the emerging regulatory landscape and her...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2019: UPDATED

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Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2018: UPDATED

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Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2017: UPDATED

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Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2016: UPDATED

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Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2015: UPDATED

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Please see full Chart below for more information....more

Seyfarth Shaw LLP

SEC Votes to Propose Amendments to the Definition of an Accredited Investor

Seyfarth Shaw LLP on

The U.S. Securities and Exchange Commission voted 3-2 on Wednesday to propose amendments to its current definition of an “accredited investor.” The depression-era definition historically limited certain types of private...more

Polsinelli

SEC Proposes Expanding the Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Polsinelli on

On December 18, the U.S. Securities and Exchange Commission (“SEC”) issued a proposal to update the definition of “accredited investor” pursuant to Rule 506 of Regulation D under the Securities Act of 1933 (“Securities Act”)...more

Kramer Levin Naftalis & Frankel LLP

SEC Accredited Investor Proposal Could Yield New Product Opportunities for Private Fund Managers

Kramer Levin Naftalis & Frankel LLP on

On Dec. 18, 2019, the Securities and Exchange Commission (SEC or Commission) proposed amendments to broaden the definition of “Accredited Investor” under Regulation D to cover a broader group of investors, including adding...more

Mayer Brown Free Writings + Perspectives

Chair Clayton Testifies in Congress

Mayer Brown Free Writings + Perspectives on

In his testimony in Congress, Securities and Exchange Commission Chair Jay Clayton provided an update on the rulemaking work undertaken by the SEC during the fiscal year and provided updates on the SEC’s priorities. ...more

Kramer Levin Naftalis & Frankel LLP

New Public Alternative Funds: UPDATED

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Please see full Chart below for more information....more

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