One of the current issues around a fund manager or company from using advertising as part of its private placement fundraising is the proposed changes to filing requirements for Form D. Few people I have spoken with actually want to use general solicitation like bulk emails, newspaper ads, or web ads. But they do want […]
While I was waiting to see what surprises the Securities and Exchange Commission had included in the rule lifting the ban on general solicitation and advertising for private placements, the SEC slipped in an unexpected surprise. The SEC is proposing a new Rule 509. Rule 509 would require disclosures on “any written communication that constitutes […]
- Compliance Bricks and Mortar for March 7
- Compliance Lessons From My Dog
- Create an Introduction for the SEC
- Are Oil and Gas Investments “Securities”?
- Occupy Boston is Back…..
- Compliance Bricks and Mortar for February 28
- Are SEC Employees Profiting from Enforcement Actions?
- SEC Charges Private Equity Fund Manager with Misallocation of Expenses
- The Darth Vader Defense to Insider Trading
- California’s Public Disclosure of Private Fund Investments