Penalties, Exemptions, Filing Requirements

When Must Private Fund Managers File as an Exempt Reporting Adviser in California?

Procopio, Cory, Hargreaves & Savitch LLP on 7/23/2025

Some private fund managers in California face potentially dire consequences if they fail to properly register with the state and the U.S. Securities and Exchange Commission (SEC). Failing to adhere to relevant securities laws...more

Registration Requirements for Canadians

Kerr Russell on 5/7/2025

As of April 11, 2025, the U.S. Citizenship and Immigration Service will enforce provisions requiring that all non-U.S. citizens over age 14 register with the Service if they remain in the U.S. for at least 30 days, unless...more

Form D: A Primer

Robinson Bradshaw on 4/2/2025

Under Section 5 of the Securities Act of 1933, all offers and sales of securities, including offers or sales of limited partnership interests or membership interests in a private fund, must be registered with the Securities...more

Corporate Transparency Act: What You Need To Know

Woods Rogers on 4/26/2024

The Corporate Transparency Act (CTA) went into effect on January 1, 2024, creating a national beneficial owner database to be used in combating money laundering, by requiring companies to report information about their...more

Corporate Transparency Act—Overview and Initial Steps to Be Taken

Verrill on 2/15/2024

The Corporate Transparency Act became effective January 1, 2024 and will require more than 30 million U.S. entities to register in 2024 with FinCEN (a bureau of the U.S. Treasury Department). Most large companies and...more

Important Actions for Necessary Businesses and Entities Affected by the New Corporate Transparency

Lippes Mathias LLP on 2/15/2024

Entities and Individuals Required to File a Report: Effective January 1, 2024, the Corporate Transparency Act (“CTA”) now requires a significant number of foreign and domestic businesses and entities in the United States...more