Avoiding a Public Offer Through Private Fund Materials and Communications
We believe the beginning of 2011 is a suitable time to address several key issues facing investment ...
Application of the Adviser Act’s Advertising Rule to Private Fund Managers
The holidays provide the opportunity for us take a step back from the routine, remind ourselves of o...
Procrastination…
The effective date for the amended rules pertaining to the new ADV Form Part 2 is today, October 12t...
The Hedge Fund Registration Master Class
When: October 27th, 2010 Where: The Princeton Club of New York, New York City Janaya Moscony, Presid...
Private Fund Adviser Registration
Since the adoption of the Private Fund Investment Advisers Registration Act of 2010 on July 21, 2010...
Guide to SEC Registration for Private Fund Managers
Our Guide to SEC Registration for Private Fund Investment Advisers is a comprehensive guide to the r...
SEC3 Offers Private Fund Registration and Compliance Services
Janaya Moscony, CFA, President of SEC3 says, “Once registered, private fund managers must follow t...
SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers
On July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer Pro...
SEC Chicago letter resend to non-opens
If your firm has never been examined by the Securities and Exchange Commission (“SEC”), ...
SEC Chicago Letter – A precursor for private funds
The SEC seems to be initiating a trend and “pre-screening” managers. An April...