News & Analysis as of

Securities and Exchange Commission (SEC) › Exemptions › Private Equity Funds

DarrowEverett LLP

Private Placements in Florida Just Got Easier: Here’s How

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Florida recently implemented amendments to its Securities and Investor Protection Act (“Chapter 517”), bringing significant changes to the regulatory framework governing private placements, investment advisors, and exemptions...more

Lowenstein Sandler LLP

SEC Proposes Conditional Broker Exemption For Finders

Lowenstein Sandler LLP on

What You Need To Know: •The SEC proposes to exempt two types of Finders from broker-dealer registration pursuant if they satisfy certain conditions. •Tier I Finders may provide potential investors’ contact information to...more

Vedder Price

Volcker Rule: Community Bank Exemption

Vedder Price on

On July 9, 2019, the Board of Governors of the Federal Reserve System (the “FRB”), U.S. Commodity Futures Trading Commission, Federal Deposit Insurance Corporation (the “FDIC”), Office of the Comptroller of the Currency (the...more

Foley & Lardner LLP

A Compilation of Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Amendments to the Venture Capital Fund Adviser and Private Fund Adviser Exemptions - Last month the SEC’s Division of Investment Management issued a guidance update (Update) addressing recent...more

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